fbpx

Rex Securities Law-BLOG

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

LPL Financial Hit wtih $8.5M Investor Claim
LPL Financial Hit wtih $8.5M Investor Claim 150 150 Rex Securities Law

Recent press reports that LPL Financial, already beleaguered with investigations by securities regulators from Illinois, Montana, Oregon, Pennsylvania and Massachusetts and an onslaught of investor suits seeking recovery of losses…

read more

Securities Regulators Issue Warning- Oil & Gas Investment Fraud
Securities Regulators Issue Warning- Oil & Gas Investment Fraud 150 150 Rex Securities Law

The North American Securities Administrators Association (NASAA) was formed in 1919 and is comprised of  the state securities regulators. NASAA has issued a warning to investors regarding oil & gas…

read more

FINRA Fines Nobles & Richards -Plano,TX-For Inadequate Disclosure on Oil & Gas Private Placements
FINRA Fines Nobles & Richards -Plano,TX-For Inadequate Disclosure on Oil & Gas Private Placements 150 150 Rex Securities Law

Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and limited partnerships. The company was formed in 2007 and its…

read more

LPL Financial-Growth Causing Growing Pains-Trouble With Securities Regulators
LPL Financial-Growth Causing Growing Pains-Trouble With Securities Regulators 150 150 Rex Securities Law

The New York Times today reported that LPL Financial, an independent broker/dealer with over 13,000 brokers, 6,500 offices and 4.3 million customers is having more and more problems with securities…

read more

RSL Investigates Recovery of Direct Invest Tenant in Common (TIC) 1031 Exchange Losses
RSL Investigates Recovery of Direct Invest Tenant in Common (TIC) 1031 Exchange Losses 150 150 Rex Securities Law

Rex Securities Law is investigating the recovery of losses for investors who purchased Tenant in Common (TIC) investments sponsored by Direct Invest, a company headquartered in Boston and run by…

read more
  • Robert H. Rex
  • No Comments

QA3 Financial Broker David Theis Hit With $290,000 FINRA Award
QA3 Financial Broker David Theis Hit With $290,000 FINRA Award 150 150 Robert H. Rex

March 2013-FINRA Case # 12-01157 A couple from Minnesota was awarded $290,000 against David Theis, a broker for QA3 Financial Corp., following an arbitration alleging failure to supervise, misrepresentation, negligence,…

read more

Cabot Tenant in Common (TIC) Investment Losses May Be Recoverable
Cabot Tenant in Common (TIC) Investment Losses May Be Recoverable 150 150 Rex Securities Law

If you are one of the many investors who have experienced losses on a Cabot TIC investment, you may be able to recover all or a part of those losses…

read more

Tenant In Common (TIC) Investors May Be Able to Recover Losses in FINRA Arbitration
Tenant In Common (TIC) Investors May Be Able to Recover Losses in FINRA Arbitration 150 150 Rex Securities Law

During the boom times, pre-2008, broker/dealers (see the extensive list below)  sold billions of tenant-in-common investments (TICs) to retail investors nationwide. These investments, which were touted as having great tax…

read more

TNP Strategic Retail Trust Suspends Dividend- Thompson’s Woes Continue
TNP Strategic Retail Trust Suspends Dividend- Thompson’s Woes Continue 150 150 Rex Securities Law

Tony Thompson’s non traded real estate investment trust, TNP Strategic Retail Trust, Inc., announced in an SEC filing this week that there will be no dividend for the first quarter…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com