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Monthly Archives :

February 2016

Rex Securities Law Investigates VSR Financial Services Broker Lisa Allen- Austin, TX
Rex Securities Law Investigates VSR Financial Services Broker Lisa Allen- Austin, TX 150 150 Rex Securities Law

Austin, Texas UPDATE DECEMBER 2017-Lisa Allen is currently registered with Calton & Associates. See this for more information regarding VSR Financial Services.  Rex Securities Law is investigating VSR Financial Services broker Lisa…

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Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA
Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA 150 150 Rex Securities Law

Baton Rouge, LA Rex Securities Law is investigating former VSR Financial Services broker Gregory M. Ellis  in connection with the sale of various alternative investments including real estate securities, oil and gas securities,…

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Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN
Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN 150 150 Rex Securities Law

Saint Louis Park, MN UPDATE FEBRUARY 2017– IN July 2016 a customer of Nevin’s former employer VSR Financial filed FINRA case 16-1993 alleging fraud and unsuitability in connection with an investment…

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Jesse J. Griffin-Former VSR Financial Broker-Discloses Settlement of Customer Complaints- Palm City, FL
Jesse J. Griffin-Former VSR Financial Broker-Discloses Settlement of Customer Complaints- Palm City, FL 150 150 Rex Securities Law

Rex Securities Law is investigating former VSR Financial Services broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including real estate securities,…

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Boynton Beach, FL Resident Named in Forex Fraud Order
Boynton Beach, FL Resident Named in Forex Fraud Order 150 150 Rex Securities Law

February 4, 2016- Boynton Beach, Florida The U.S. Commodity Futures Trading Commission (CFTC) announced that a Federal Court issued a Consent Order against Robert Tripode of Boynton Beach, FL, in…

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Dania Florida Resident Named in Commodities Fraud Action
Dania Florida Resident Named in Commodities Fraud Action 150 150 Rex Securities Law

February 5, 2016- Dania Beach, Florida The U.S. Commodity Futures Trading Commission (CFTC) charged Rico Omar Cox (aka Omar Negron) of Dania Beach, FL, with commodity trading advisor fraud. According…

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Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery
Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery 150 150 Rex Securities Law

January 27, 2016- Maryland Michael Roger Griffith entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted two fictitious applications…

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James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX
James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX 150 150 Rex Securities Law

January 27, 2016- San Antonio, Texas James W. Anderson 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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Austin, Texas-Former WFG Broker Named In Regulatory Complaint
Austin, Texas-Former WFG Broker Named In Regulatory Complaint 150 150 Rex Securities Law

January 22, 2016- Austin, Texas Harvey B. Vaughn, Jr. was named in a disciplinary proceeding ( #2015045409001) filed ty the Financial Industry Regulatory Authority (FINRA) alleging that he willfully failed…

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