• Robert Rex, Esq.

Legend Securities Loses Arbitration Hearing Brought by Former Customer
Legend Securities Loses Arbitration Hearing Brought by Former Customer 150 150 Robert Rex, Esq.

Tampa, Florida A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages of over $150,000 to two former customers of Legend Securities, Inc. who brought the action for losses suffered…

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  • Robert Rex, Esq.

Stanley Brian Catlin, Weatherford, TX-Fined by State Securities Regulator
Stanley Brian Catlin, Weatherford, TX-Fined by State Securities Regulator 150 150 Robert Rex, Esq.

Weatherford, Texas Stanley Brian Catlin, a CPA and Weatherford ISD school board trustee was fined $6,000 by the Texas State Securities Board (TSSB) for acting as an investment adviser representative…

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  • Robert Rex, Esq.

VSR Financial Services-How to Recover Damages On Investment Losses
VSR Financial Services-How to Recover Damages On Investment Losses 150 150 Robert Rex, Esq.

FEBRUARY 2017 UPDATE–VSR Financial has closed operations. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity. See below for discussion of VSR’s regulatory…

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  • Robert Rex, Esq.

Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX
Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX 150 150 Robert Rex, Esq.

June 2016-Grapevine, Texas According to FINRA records,  Richard M. Ohlhaber ,   a stockbroker  who most recently was  employed by FSC Securities Corp., Inc. , discloses two pending customer disputes. He also discloses  3 prior final regulatory events…

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  • Robert Rex, Esq.

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer
Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 150 150 Robert Rex, Esq.

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

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  • Robert Rex, Esq.

PHX Financial-Discloses Settlement of Customer Dispute
PHX Financial-Discloses Settlement of Customer Dispute 150 150 Robert Rex, Esq.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well…

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  • Robert Rex, Esq.

Rex Securities Law Investigating Minerva-Rockdale E&P IV
Rex Securities Law Investigating Minerva-Rockdale E&P IV 150 150 Robert Rex, Esq.

We are evaluating potential investor cases for persons who may have suffered losses on Minerva-Rockdale E&P IV. The Minerva-Rockdale E&P IV, LLC,  private placement offering in March 2013, authorized the issuer Euro…

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  • Robert Rex, Esq.

Minerva-Rockdale E&P III-How to Recover Investment Losses
Minerva-Rockdale E&P III-How to Recover Investment Losses 150 150 Robert Rex, Esq.

Investors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their  losses through arbitration. On May 16, 2016,…

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  • Robert Rex, Esq.

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX
Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 150 150 Robert Rex, Esq.

October 2017-Austin, Texas According to FINRA records,  Paul Jacobs,   a stockbroker who is currently  employed by Cape Securities, discloses  a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint
Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Alex E. Etter,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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