• Robert Rex, Esq.

Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes
Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes 150 150 Robert Rex, Esq.

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order suspending investment adviser Marvin M Slater of Dallas, TX, for 90…

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  • Robert Rex, Esq.

UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim?
UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim? 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2016- FBI RAIDS UDF OFFICES IN GRAPEVINE, TEXAS—See this for details.  December 16, 2015-Grapevine, Texas United Development Funding IV (UDF) , a real estate investment trust (REIT) based…

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  • Robert Rex, Esq.

William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX
William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX 150 150 Robert Rex, Esq.

JANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Former Raymond James StockBroker Barred From Industry for Taking Customer Funds
Former Raymond James StockBroker Barred From Industry for Taking Customer Funds 150 150 Robert Rex, Esq.

October 8, 2015 Paul Anthony Steffany , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he he violated NASD and…

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  • Robert Rex, Esq.

Brian Polito of Allen, Texas, Sentenced to 84 Months on Oil/Gas Fraud
Brian Polito of Allen, Texas, Sentenced to 84 Months on Oil/Gas Fraud 150 150 Robert Rex, Esq.

December 3, 2015- Dallas, Texas Allen, Texas resident Brian J. Polito was sentenced to 84 months in federal prison and ordered to pay $8.8 million following his May 2015 guilty…

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  • Robert Rex, Esq.

Reef Securities Broker Harris W. Kirk Investigation
Reef Securities Broker Harris W. Kirk Investigation 150 150 Robert Rex, Esq.

SEE THIS FOR February 2016 Update. November 25, 2015- Richardson, Texas  Rex Securities Law is investigating Harris Wayne Kirk ,  a stock broker who on October 1, 2015,  rejoined  Reef Securities, Inc. According to FINRA records,…

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  • Robert Rex, Esq.

Update on Recovery of Reef Oil & Gas Investment Losses
Update on Recovery of Reef Oil & Gas Investment Losses 150 150 Robert Rex, Esq.

Reef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years.   These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…

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  • Robert Rex, Esq.

Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme
Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme 150 150 Robert Rex, Esq.

November 19, 2015- Tyler, Texas The FBI announced that Robert B. Hahn of Tyler, TX, pleaded guilty to wire fraud and money laundering in connection with an alleged  fraud he…

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  • Robert Rex, Esq.

Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA
Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA 150 150 Robert Rex, Esq.

May 2017- Lafayette, Louisiana Garrett A. Ahrens  (aka Drew Ahrens) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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  • Robert Rex, Esq.

Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval
Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval 150 150 Robert Rex, Esq.

October 16, 2015- Portland, Oregon James G. Christianson  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011…

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