• Robert Rex, Esq.

James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX
James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX 150 150 Robert Rex, Esq.

July 2017 -Castle Rock, CO-Brenham, Texas According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by Mid Atlantic Capital Corp. ,  disclose a pending customer dispute. The…

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  • Robert Rex, Esq.

Texas Securities Board Appoints New Commissioner-Austin, TX
Texas Securities Board Appoints New Commissioner-Austin, TX 150 150 Robert Rex, Esq.

August 2017-Austin, Texas Travis J. Lies was appointed Securities Commissioner of the Texas State Securities Board (TSSB) effective September 1, 2017. Lies has worked for the TSSB for 16 years and…

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  • Robert Rex, Esq.

Additional Individuals Indicted In Chimera Energy Corp. Fraud-Houston, Texas
Additional Individuals Indicted In Chimera Energy Corp. Fraud-Houston, Texas 150 150 Robert Rex, Esq.

Houston, Texas – July 2017 According to a press release from the US Attorney’s Office for the Southern District of Texas, a second superseding indictment has been issued by a…

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  • Robert Rex, Esq.

SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island
SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island 150 150 Robert Rex, Esq.

July 2017 Thirteen individuals from two Long Island-based boiler rooms were charged with securities fraud by the Securities and Exchange Commission who alleges that they made hundreds of thousands of…

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  • Robert Rex, Esq.

Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator
Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator 150 150 Robert Rex, Esq.

July 2017 -San Antonio, TX The Texas State Securities Board  (TSSB)entered a disciplinary order against San Antonio investment adviser Michael Keith Parish for violations of Board Rule 116.17, known as the “custody…

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  • Robert Rex, Esq.

Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX
Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX 150 150 Robert Rex, Esq.

The Woodlands, Texas We are investigating the sales practices of Frank Timothy Dunn, Jr. a broker who has been employed by Concorde Investment Services since 10/2014. In publicly available records…

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  • Robert Rex, Esq.

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York
David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York 150 150 Robert Rex, Esq.

July 2017-New York The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, Texas
Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, Texas 150 150 Robert Rex, Esq.

July 2017- Dallas, Texas According to the Department of Justice , Wesley Michael Woodyard, 66, was sentenced to 87 months in federal prison for his role in a scheme to defraud…

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  • Robert Rex, Esq.

SEC Files Action Over Verto Notes-Dallas & Plano, Texas
SEC Files Action Over Verto Notes-Dallas & Plano, Texas 150 150 Robert Rex, Esq.

July 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…

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  • Robert Rex, Esq.

James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO.
James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO. 150 150 Robert Rex, Esq.

July  2017- Castle Rock, CO According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose a pending customer dispute.…

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