• Robert Rex, Esq.

Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA
Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA 150 150 Robert Rex, Esq.

Baton Rouge, LA Rex Securities Law is investigating former VSR Financial Services broker Gregory M. Ellis  in connection with the sale of various alternative investments including real estate securities, oil and gas securities,…

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  • Robert Rex, Esq.

James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX
James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX 150 150 Robert Rex, Esq.

January 27, 2016- San Antonio, Texas James W. Anderson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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  • Robert Rex, Esq.

Austin, Texas-Former WFG Broker Named In Regulatory Complaint
Austin, Texas-Former WFG Broker Named In Regulatory Complaint 150 150 Robert Rex, Esq.

January 22, 2016- Austin, Texas Harvey B. Vaughn, Jr. was named in a disciplinary proceeding ( #2015045409001) filed ty the Financial Industry Regulatory Authority (FINRA) alleging that he willfully failed…

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  • Robert Rex, Esq.

NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts)
NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts) 150 150 Robert Rex, Esq.

January 27, 2016 – Houston, Texas NEXT Financial Group, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from May 1,…

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  • Robert Rex, Esq.

Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX
Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX 150 150 Robert Rex, Esq.

January 21, 2016 – Dallas Texas Former  Southwest Securities broker Wade J. Lawrence was sentenced to three years in prison for fraud, according to the Dallas Morning News. According to…

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  • Robert Rex, Esq.

Ponca City Oklahoma Resident Named in Regulatory Action
Ponca City Oklahoma Resident Named in Regulatory Action 150 150 Robert Rex, Esq.

January 20, 2016-Ponca City, Oklahoma THe U S Commodity Futures Trading Commission (CFTC) filed an enforcement action against Kevin J. Davis charging him with acting as an unregistered commodity pool…

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  • Robert Rex, Esq.

Phony “Frontier Disney” Near Dallas Fooled Many Investors
Phony “Frontier Disney” Near Dallas Fooled Many Investors 150 150 Robert Rex, Esq.

January 19, 2015- Dallas, Texas The FBI reports that Thomas W. Lucas, Jr. was such an effective liar that he was able to convince hundreds of investors—even members of his own family—that…

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  • Robert Rex, Esq.

Former Austinite Sentenced for Marty Robbins Antique Scam
Former Austinite Sentenced for Marty Robbins Antique Scam 150 150 Robert Rex, Esq.

January 15, 2016- Austin, Texas The FBI announced that Rose Marie O’Reilly, 63, of La Grange, TX, was sentenced to 48 months in federal prison in connection with a $1,4…

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  • Robert Rex, Esq.

Stock Broker Lies to Client About Account Value- Barred From Industry by Regulator
Stock Broker Lies to Client About Account Value- Barred From Industry by Regulator 150 150 Robert Rex, Esq.

December 30 , 2015-Dallas, Texas Jose A. Zapata entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Argentus…

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  • Robert Rex, Esq.

Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas
Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas 150 150 Robert Rex, Esq.

Angleton, TX December 31, 2015 The Financial Industry Regulatory Authority  (FINRA) filed a complaint against stockbroker Ricky Randon Moore, alleging that while working for Commonwealth Financial Network in Angleton, Texas,…

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