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Failure to Supervise

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts
Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts 150 150 Rex Securities Law

August 14,  2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to  the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

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Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX
Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX 150 150 Rex Securities Law

August 7,  2015- Dallas, Texas  FINRA records disclose that Daniel E. Levin  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…

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Dallas Based VCA Securities Censured by Securities Regulators
Dallas Based VCA Securities Censured by Securities Regulators 150 150 Rex Securities Law

August 12, 2015- Dallas, Texas VCA Securities  (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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Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator
Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator 150 150 Rex Securities Law

July 10, 2015- Dallas, Texas Joseph Charles Schroeder ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

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Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Rex Securities Law

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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Brian Berger Facing Wire Fraud Charges-Coral Springs, FL
Brian Berger Facing Wire Fraud Charges-Coral Springs, FL 150 150 Rex Securities Law

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

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Michael Collins of Alice, Texas, Indicted for Securities Fraud
Michael Collins of Alice, Texas, Indicted for Securities Fraud 150 150 Rex Securities Law

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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The Villages Is Subject of Study on Elder Financial Fraud
The Villages Is Subject of Study on Elder Financial Fraud 150 150 Rex Securities Law

November 9, 2015- The Villages, Florida Florida State University College of Criminology and Criminal Justice in partnership with Merrill Lynch & Seniors vs. Crime is conducting research on elder financial…

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Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes
Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes 150 150 Rex Securities Law

UPDATE DECEMBER 2016–FINRA records indicate that Robert M. Hinz, Jr. left VSR Financial Services in July 2016 and is not currently registered with any FINRA broker dealer. ORIGINAL POST – Seatlle,…

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