• Robert Rex, Esq.

SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud
SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud 150 150 Robert Rex, Esq.

June 18, 2015 The Securities and Exchange Commission (SEC) filed an action charging Norstra Energy, based in Southlake, Texas and its CEO Glen Landry with defrauding investors about reserve estimates…

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  • Robert Rex, Esq.

First Independent Financial Services Broker Sanctioned by Regulators-Dallas
First Independent Financial Services Broker Sanctioned by Regulators-Dallas 150 150 Robert Rex, Esq.

June 12, 2015 James Michael Ham  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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  • Robert Rex, Esq.

Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts
Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 150 150 Robert Rex, Esq.

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

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  • Robert Rex, Esq.

Round Rock Texas Man Indicted–Oil/Gas Ponzi Scheme
Round Rock Texas Man Indicted–Oil/Gas Ponzi Scheme 150 150 Robert Rex, Esq.

June 3, 2015-Austin, Texas WIlliam Allen Risinger, of Round Rock, Texas,  was indicted May 19, 2015 on allegations that between 2010-2014 , through his company RHM Exploration, he promoted and sold…

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  • Robert Rex, Esq.

Laurie Mayfield of Fredericksburg Texas Pleads Guilty to Wire Fraud
Laurie Mayfield of Fredericksburg Texas Pleads Guilty to Wire Fraud 150 150 Robert Rex, Esq.

June 9, 2015-San Antonio, Texas Laurie Mayfield (aka “Laurie H. Scott“) , 54, of Fredericksburg, Texas, pleaded guilty to one count of wire fraud to resolve allegations that from January…

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  • Robert Rex, Esq.

Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection
Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection 150 150 Robert Rex, Esq.

June 8, 2015-San Antonio, Texas Primera Energy filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the Western District of Texas. The filing came a day following…

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  • Robert Rex, Esq.

Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities
Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities 150 150 Robert Rex, Esq.

May 15, 2015-Houston, Texas A FINRA (Financial Industry Regulatory Authority) arbitration panel in Houston, Texas, awarded over $1.1 million to a couple who filed a claim alleging that the annuities…

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  • Robert Rex, Esq.

Financial Services Firm CEO Sentenced to 10 Years Prison for Securities Fraud
Financial Services Firm CEO Sentenced to 10 Years Prison for Securities Fraud 150 150 Robert Rex, Esq.

June 4, 2015 Everett C. Miller, 45, of Marlton, New Jersey was sentenced to 120 months in prison after pleading guilty before U.S. District Judge Renee Marie Bumb to one…

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  • Robert Rex, Esq.

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry
Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Robert Rex, Esq.

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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  • Robert Rex, Esq.

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery
Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery 150 150 Robert Rex, Esq.

March 30, 2015, Grapevine, Texas  Sam Marshall Stull  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…

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