• Robert Rex, Esq.

Former Austin Lawyer Begins 17 Year Prison Sentence for Fraud
Former Austin Lawyer Begins 17 Year Prison Sentence for Fraud 150 150 Robert Rex, Esq.

March 9, 2016-Austin, Texas The Texas Lawyer reports that Patrick Lanier, a former Austin attorney, began a 17 year prison sentence for assisting Harris Ballow, an international fugitive, defraud 500…

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  • Robert Rex, Esq.

Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma
Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma 150 150 Robert Rex, Esq.

Norman, OK MAY 2017 UPDATE-In January 2017 Beth E. Dutoit was suspended for three months by FINRA and fined $5,000 to resolve allegations that she had customers sign blank forms…

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  • Robert Rex, Esq.

Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist
Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist 150 150 Robert Rex, Esq.

March 4, 2016-Oklahoma City, OK The Oklahoma Department of Securities file an Order to Cease and Desist and Notice of Opportunity for Hearing in the matter of Houston-based ThinAir Wireless,…

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  • Robert Rex, Esq.

Robert Arrowood Sanctioned by Securities Regulator for Trinity Resources Scam-Norman, OK
Robert Arrowood Sanctioned by Securities Regulator for Trinity Resources Scam-Norman, OK 150 150 Robert Rex, Esq.

March 10, 2016-Norman, Oklahoma The Oklahoma Securities Commission entered a permanent injunction against 2001 Trinity Fund LLC and Robert Arrowood, of Norman, OK, who was accused of operating a Ponzi…

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  • Robert Rex, Esq.

Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information
Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information 150 150 Robert Rex, Esq.

February 26, 2016- St. Petersburg, FL Raymond James & Associates and Raymond James Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas
Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas 150 150 Robert Rex, Esq.

Dallas, Texas Former VSR Financial Services broker Keith E. Chapman of Chapman Wealth Management  discloses a customer dispute related to  the sale of limited partnerships, direct investments, equipment leasing investments and real estate securities. (Alternative…

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  • Robert Rex, Esq.

Grady R. Jones- Former Emerson Equity/WFG Investments Broker Investigation- Dallas, Texas
Grady R. Jones- Former Emerson Equity/WFG Investments Broker Investigation- Dallas, Texas 150 150 Robert Rex, Esq.

Lewisville, Texas Rex Securities Law is investigating Grady R. Jones, a broker who is currently unregistered but who was previously registered as follows: Emerson Equity          …

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  • Robert Rex, Esq.

Brian C. Tillotson- Former VSR Financial Broker- Investigation- Southlake, Texas
Brian C. Tillotson- Former VSR Financial Broker- Investigation- Southlake, Texas 150 150 Robert Rex, Esq.

Southlake, Texas Rex Securities Law is investigating former VSR Financial Services broker Brian C. TIllotson (VIrtus Wealth Management) in connection with the sale of unsuitable real estate investments during the time he was employed by…

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  • Robert Rex, Esq.

James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas
James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas 150 150 Robert Rex, Esq.

February 2017- Eastland, Texas Rex Securities Law is investigating former VSR Financial Services broker James Roy Kennedy of the Smart Money Group and Kennedy Financial Services in connection with the sale of unsuitable investments, including real…

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  • Robert Rex, Esq.

How to Recover Losses on Aequitas Investments
How to Recover Losses on Aequitas Investments 150 150 Robert Rex, Esq.

March 10, 2016- Washington, DC The Securities & Exchange Commission (SEC) charged Oregon based Aequitas Management and its top three executives, CEO Robert J. Jesenik, executive VP Brian A. Oliver,…

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