• Robert Rex, Esq.

Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach
Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach 150 150 Robert Rex, Esq.

August 12, 2015 VCA Securities LP,   (formerly Bluffview Securities) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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  • Robert Rex, Esq.

Signator Investors, Inc. Fined $450,000 for Supervisory Failures
Signator Investors, Inc. Fined $450,000 for Supervisory Failures 150 150 Robert Rex, Esq.

August 13, 2015 Signator Investors, Inc. and Gregory J. Mitchell, Agency Compliance Specialist for Signator’s Vienna, Virginia office,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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  • Robert Rex, Esq.

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show
Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show 150 150 Robert Rex, Esq.

August 4, 2015 Daniel Levin, of Dallas, TX ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

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  • Robert Rex, Esq.

Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator
Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

August 6, 2015 Steven P. Goldberg  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000…

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  • Robert Rex, Esq.

StockBroker Sanctioned for Mutual Fund Churning
StockBroker Sanctioned for Mutual Fund Churning 150 150 Robert Rex, Esq.

August 4,2015 Ronald J. Benevento of Holbrook, NY,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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  • Robert Rex, Esq.

Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator
Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 30, 2015 Malcolm Jamal Babin  of Baton Rouge, LA , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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  • Robert Rex, Esq.

Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator
Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 20, 2015 Andrew Joseph Thomas  of Boerne, Texas, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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  • Robert Rex, Esq.

Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX
Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX 150 150 Robert Rex, Esq.

DECEMBER 2016 UPDATE-Richardson, Texas In an Extended Hearing Panel Decision, FINRA expelled Texas E&P Partners for providing a falsified document to FINRA during an investigation. Mark Plummer, its CEO, was…

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  • Robert Rex, Esq.

Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX
Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX 150 150 Robert Rex, Esq.

August 3, 2015-Hoiuston, Texas Frederick Alan Voight of Richmond, Texas, was charged by the Securities and Exchange Commission with defrauding over 300 investors in a $114 million Ponzi scheme. Investors…

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  • Robert Rex, Esq.

Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio
Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio 150 150 Robert Rex, Esq.

San Antonio, Texas August 6, 2015 KENS 5 Eyewitness News of San Antonio reports that Jeremy James McGilvrey claimed in an interview last month that he has paid restitution to…

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