• Robert Rex, Esq.

VFG Securities-Jason Vanclef-Sanctioned by Securities Regulator
VFG Securities-Jason Vanclef-Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

November 2016-Plano, Texas/Culver City, CA VFG Securities, Inc. and its owner, Jason Vanclef, reached a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by the securities industry…

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  • Robert Rex, Esq.

Gerald Cocuzzo-Former Newbridge Securities Broker-Sentenced to 18 Months for Securities Fraud-Boca Raton,FL
Gerald Cocuzzo-Former Newbridge Securities Broker-Sentenced to 18 Months for Securities Fraud-Boca Raton,FL 150 150 Robert Rex, Esq.

Boca Raton, FL July 2017 UPDATE– Gerald Cocuzzo was sentenced to 18 months in prison after pleading guilty to securities fraud for his participation in the manipulation of Forcefield Energy,…

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  • Robert Rex, Esq.

Stanley Fortenberry of San Angelo, TX, Sentenced to 78 Months-San Angelo, TX
Stanley Fortenberry of San Angelo, TX, Sentenced to 78 Months-San Angelo, TX 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2017-Fortenberry sentenced to 78 months in prison. Follow this link to Department of Justice news release for more details on his sentencing.  November 2016, San Angelo, Texas The…

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  • Robert Rex, Esq.

Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens
Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens 150 150 Robert Rex, Esq.

November 2016- Dallas, Texas The FINRA records of  Jesse B. Shelmire, IV,  a  stockbroker who is currently  employed by  Stonegate Capital Markets, Inc.  disclose 2 prior regulatory events that are final, a pending investigation and…

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  • Robert Rex, Esq.

Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX
Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX 150 150 Robert Rex, Esq.

Arlington, Texas MAY 2017 UPDATE-In January 2017 a customer of Rhodes Securities filed FINRA Case #16-03753 alleging damages of $2 million for breach of fiduciary duty, negligence and breach of…

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  • Robert Rex, Esq.

Brad Wilson-VSR Financial Broker-Discloses Settlement of Customer Dispute
Brad Wilson-VSR Financial Broker-Discloses Settlement of Customer Dispute 150 150 Robert Rex, Esq.

October 2016-Houston, Texas The FINRA records of  John “Brad” Wilson,  a  stockbroker who is currently  employed by  VSR Financial Services & Summit Brokerage Services disclose a prior customer dispute that has been resolved. The Financial Industry…

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  • Robert Rex, Esq.

Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales
Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales 150 150 Robert Rex, Esq.

September 2016-Helotes, Texas The FINRA records of  Daniel A. Cabrera,  a  stockbroker who is currently employed by  BBVA Securities  disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators
Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators 150 150 Robert Rex, Esq.

October 2016- Spring, Texas The Texas State Securities Board (TSSB) sanctioned  Old Security Financial Group, Inc. of Spring, Texas,  fining the company $100,000 for selling unregistered investments in a mortgage note…

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  • Robert Rex, Esq.

San Antonio Based Investment Adviser Sanctioned by Texas Regulators
San Antonio Based Investment Adviser Sanctioned by Texas Regulators 150 150 Robert Rex, Esq.

September 2016- San Antonio, Texas The Texas State Securities Board (TSSB) sanctioned San Antonio investment adviser firm Rubicon Investment Management & Analytics and barred its president Michael Yves Heridia from…

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  • Robert Rex, Esq.

Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX
Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX 150 150 Robert Rex, Esq.

February 2020-Austin, Texas The FINRA records of  William F.  “Billy” Fox,  a  stockbroker who is currently employed by  First Allied Securities  disclose 2 prior customer disputes that are final and one currently pending…

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