• Robert Rex, Esq.

Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy
Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy 150 150 Robert Rex, Esq.

August 7, 2015, Kevin C. Trost,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he backdated an insurance…

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  • Robert Rex, Esq.

Signator Investors, Inc. Fined $450,000 for Supervisory Failures
Signator Investors, Inc. Fined $450,000 for Supervisory Failures 150 150 Robert Rex, Esq.

August 13, 2015 Signator Investors, Inc. and Gregory J. Mitchell, Agency Compliance Specialist for Signator’s Vienna, Virginia office,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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  • Robert Rex, Esq.

FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme
FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme 150 150 Robert Rex, Esq.

August 11, 2015 -Atlanta, Georgia An arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $1.28 million to a group of individuals who were victims of a ponzi scheme…

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  • Robert Rex, Esq.

Tampa Man Pleads Guilty In Facebook Pre-IPO Scam
Tampa Man Pleads Guilty In Facebook Pre-IPO Scam 150 150 Robert Rex, Esq.

August 13, 2015-Tampa, Florida The FBI announced that Gignesh Movalia, 40, of Tampa, pleaded guilty to one could of investment advisor fraud in connection with his operation of the OM…

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  • Robert Rex, Esq.

Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges
Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges 150 150 Robert Rex, Esq.

August 13, 2015-Washington DC The Securities and Exchange Commission (SEC) announced that Edward Jones, a brokerage firm headquartered in St. Louis, and Stina R. Wishman, the former head of its…

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  • Robert Rex, Esq.

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show
Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show 150 150 Robert Rex, Esq.

August 4, 2015 Daniel Levin, of Dallas, TX ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

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  • Robert Rex, Esq.

Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator
Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

August 6, 2015 Steven P. Goldberg  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000…

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  • Robert Rex, Esq.

Wells Fargo Advisors Fined $500,000 for Sale of Structured Products
Wells Fargo Advisors Fined $500,000 for Sale of Structured Products 150 150 Robert Rex, Esq.

August 9, 2015 Wells Fargo Advisors  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…

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  • Robert Rex, Esq.

Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX
Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX 150 150 Robert Rex, Esq.

DECEMBER 2016 UPDATE-Richardson, Texas In an Extended Hearing Panel Decision, FINRA expelled Texas E&P Partners for providing a falsified document to FINRA during an investigation. Mark Plummer, its CEO, was…

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  • Robert Rex, Esq.

Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities
Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities 150 150 Robert Rex, Esq.

July 21, 2015 John P. Jones  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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