• Robert Rex, Esq.

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud
Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud 150 150 Robert Rex, Esq.

March 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…

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  • Robert Rex, Esq.

Dallas Broker Wade Lawrence Named in New SEC Complaint
Dallas Broker Wade Lawrence Named in New SEC Complaint 150 150 Robert Rex, Esq.

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

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  • Robert Rex, Esq.

Larry Werbel Indicted for $15M VGTL Securities Fraud
Larry Werbel Indicted for $15M VGTL Securities Fraud 150 150 Robert Rex, Esq.

1/8/2016- Cleveland, Ohio Larry Werbel, 67,  of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…

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  • Robert Rex, Esq.

Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft
Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft 150 150 Robert Rex, Esq.

December 18, 2015- Fidelity Brokerage Services , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between August 2006 and…

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  • Robert Rex, Esq.

Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds
Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds 150 150 Robert Rex, Esq.

August 18, 2015- Henderson, Nevada Glenn Allen Moffitt  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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  • Robert Rex, Esq.

Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud
Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud 150 150 Robert Rex, Esq.

San Antonio, Texas  The FBI announced that former Merrill Lynch broker Bruce E. Hammonds, 50, of San Antonio and Boerne, Texas, was sentenced to 57 months in prison for securities…

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  • Robert Rex, Esq.

Michael Collins of Alice, Texas, Indicted for Securities Fraud
Michael Collins of Alice, Texas, Indicted for Securities Fraud 150 150 Robert Rex, Esq.

October 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…

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  • Robert Rex, Esq.

Armando Hernandez Leal Admits Laundering $66 Million From Mexican Investor-San Antonio
Armando Hernandez Leal Admits Laundering $66 Million From Mexican Investor-San Antonio 150 150 Robert Rex, Esq.

August 26, 2015- San Antonio, Texas The FBI reports that Armando Jesus Hernandez Leal, 53, of Shavano Park, Texas, pleaded guilty to federal money laundering charges in connection with a…

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  • Robert Rex, Esq.

FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme
FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme 150 150 Robert Rex, Esq.

August 11, 2015 -Atlanta, Georgia An arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $1.28 million to a group of individuals who were victims of a ponzi scheme…

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  • Robert Rex, Esq.

Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry
Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry 150 150 Robert Rex, Esq.

April 2018 Update-Berger pleads guilty to fraud.  July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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