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Rex Securities Law
October 1, 2012
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Non-Traded REITs In FINRA Spotlight

Non-Traded REITs In FINRA Spotlight https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 1, 2012 October 18, 2014

Non exchange traded REITs were the focus of a speech given last week by FINRA’s Executive VP of Sales Practice Regulation, Susan F. Axelrod. Her remarks, which can be accessed here, were…

Robert H. Rex
October 1, 2012
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Behringer Harvard Suit May Lead to Class Action

Behringer Harvard Suit May Lead to Class Action https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert H. Rex Robert H. Rex https://secure.gravatar.com/avatar/63d95f80eb91915bb42dfbaade95e4ca?s=96&d=mm&r=g October 1, 2012 November 10, 2014

Behringer Harvard REIT I, one of the largest nontraded real estate investment trusts with over $4 billion in assets, was recently sued in Federal Court in the Northern District of…

Rex Securities Law
September 29, 2012
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Ray Lucia, “Buckets of Money” Author Barred From Industry

Ray Lucia, “Buckets of Money” Author Barred From Industry https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 29, 2012 October 18, 2014

by Robert H. Rex, Esq.UPDATE JULY 2013– The SEC fined Ray J. Lucia, Sr. and his firm were fined $300,000 for spreading misleading information about his “Buckets of Money” investment…

Rex Securities Law
September 19, 2012
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FINRA Issues September 2012 Disciplinary Actions

FINRA Issues September 2012 Disciplinary Actions https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 19, 2012 October 18, 2014

FINRA Issues September 2012 Disciplinary Actions The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month.…

Rex Securities Law
September 11, 2012
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Churning by J.P. Turner Brokers Costs Conservative Investors $2.7M

Churning by J.P. Turner Brokers Costs Conservative Investors $2.7M https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 11, 2012 December 28, 2014

In a news release that can be accessed here, the Securities and Exchange Commission (SEC) charged three former brokers from J.P. Turner & Company (Ralph Calabro, Dimitrios Koutsoubos & Jason Konner) with churning…

Rex Securities Law
September 10, 2012
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Exchange Traded Note VXX-Trading at All Time Low

Exchange Traded Note VXX-Trading at All Time Low https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 10, 2012 October 18, 2014

The $2 billion iPath S&P 500 VIX Short-Term Futures exchange traded note (VXX) was down over 10% last week and now is trading at an all time low of less…

Rex Securities Law
August 23, 2012
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Behringer Harvard Strategic Opportunity Fund Sinking

Behringer Harvard Strategic Opportunity Fund Sinking https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 23, 2012 October 18, 2014

On August 22, 2012, according to the Investment News, Behringer Harvard announced that yet another one of their real estate investment trusts (REIT) Behringer Harvard Strategic Opportunity Fund I, has…

Rex Securities Law
August 22, 2012
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FINRA Issues August 2012 Disciplinary Actions

FINRA Issues August 2012 Disciplinary Actions https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 22, 2012 October 18, 2014

The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. Here are significant Florida related actions…

Rex Securities Law
August 21, 2012
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Former Sandru/LPL/Cambridge Brokers Face Suspension

Former Sandru/LPL/Cambridge Brokers Face Suspension https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 21, 2012 January 19, 2015

In April 2012, the Ohio Division of Securities filed Notices of Intent to suspend or revoke the licenses of two investment advisers/stockbrokers who practiced in the Toledo/Perrysburg area. Eric M.…