• Robert Rex, Esq.

Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board
Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board 150 150 Robert Rex, Esq.

September 4, 2015- Austin, Texas Texas Securities Commissioner John Morgan entered a Disciplinary Order against Dallas based WFG Investments, Inc. , reprimanding and fining the company $175,000 for failing to…

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  • Robert Rex, Esq.

SEC Names West Palm Beach Man in Boiler Room Securities Fraud
SEC Names West Palm Beach Man in Boiler Room Securities Fraud 150 150 Robert Rex, Esq.

August 20, 2015-West Palm Beach, FL Moshe Yehuda Dunoff was charged by the Securities and Exchange Commission (SEC) with participating in a boiler room fraud that raised over $1.5 million…

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  • Robert Rex, Esq.

E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies
E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies 150 150 Robert Rex, Esq.

June 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…

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  • Robert Rex, Esq.

Former Cambridge Investment Research Broker Charged with Felony
Former Cambridge Investment Research Broker Charged with Felony 150 150 Robert Rex, Esq.

August 19, 2015, Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and…

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  • Robert Rex, Esq.

Barry Hartman-FSC Securities Broker- Sanctioned by Regulator
Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

  Barry George Hartman , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

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  • Robert Rex, Esq.

Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies
Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies 150 150 Robert Rex, Esq.

August19, 2015-Herndon, VA According to FINRA records, Yuvraj Taneja , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she electronically…

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  • Robert Rex, Esq.

Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL
Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL 150 150 Robert Rex, Esq.

August18, 2015, Mark Brian Quimby,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…

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  • Robert Rex, Esq.

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client
Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 150 150 Robert Rex, Esq.

August18, 2015, Glenn Allen Moffitt,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…

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  • Robert Rex, Esq.

Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud
Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud 150 150 Robert Rex, Esq.

August 10, 2015-New Hampshire Richard M. Higgins, of Stratham, New Hampshire was sentenced in Merrimack County Superior Court to serve 5 to 14 years after pleading guilty to one felony…

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  • Robert Rex, Esq.

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest
William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 150 150 Robert Rex, Esq.

August 17, 2015, William Blair & Company,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

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