• Robert Rex, Esq.

Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers
Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers 150 150 Robert Rex, Esq.

June 19, 2015 Morgan Stanley Smith Barney  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2009-November…

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  • Robert Rex, Esq.

Former Trident Partners Broker William Quigley Investigation
Former Trident Partners Broker William Quigley Investigation 150 150 Robert Rex, Esq.

May 28,2015 Rex Securities Law is investigating former Trident Partners, Ltd. broker William Michael Quigley. The Securities & Exchange Commission filed an administrative proceeding (File No. 3-16560) against William Michael…

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  • Robert Rex, Esq.

Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months
Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months 150 150 Robert Rex, Esq.

Staunton, Virginia Kirsten Flynn Hawkins, 45, pled guilty to wire fraud in January 2015, and in May 2015, was sentenced to 41 months in prison and ordered to pay restitution…

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  • Robert Rex, Esq.

Phil Williamson Charged in South Florida Securities Fraud
Phil Williamson Charged in South Florida Securities Fraud 150 150 Robert Rex, Esq.

June 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…

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  • Robert Rex, Esq.

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens
Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens 150 150 Robert Rex, Esq.

March 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray  Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…

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  • Robert Rex, Esq.

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker
H.D. Vest Sanctioned by SEC For Failing to Supervise Broker 150 150 Robert Rex, Esq.

March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc.  failed to supervise Michigan broker Lewis J.…

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  • Robert Rex, Esq.

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator
Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 2, 2015  – Willimantic, CT Tricia D. Willis   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she converted customer funds…

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