Rex Securities Law-BLOG - Page 341 of 349 - Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

Rex Securities Law
May 30, 2012
No Comments

FINRA Warns Investors to Be Wary of Nutraceutical Stock Scams

FINRA Warns Investors to Be Wary of Nutraceutical Stock Scams 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 May 30, 2012 October 18, 2014

On May 26, 2012, the Financial Industry Regulatory Authority (FINRA) warned investors about potential scams related to natural medicines, fortified foods and other products claiming to improve potency, extend your…

Rex Securities Law
May 29, 2012
No Comments

SEC Charges Quantek Asset Management for Deceiving Investors

SEC Charges Quantek Asset Management for Deceiving Investors 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 May 29, 2012 October 18, 2014

On May 29, 2012, the Securities & Exchange Commission charged a hedge fund adviser from Miami for deceiving investors by leading them to believe that Quantek executives had made personal…

Rex Securities Law
May 29, 2012
No Comments

FINRA Rules Against Lerner in First Apple Non-Exchange Traded REIT Case

FINRA Rules Against Lerner in First Apple Non-Exchange Traded REIT Case 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 May 29, 2012 October 18, 2014

The first of what may be potentially hundreds of arbitration cases relating to the sale of Apple REITs by David Lerner & Associates Inc. was recently decided in favor of…

Rex Securities Law
May 18, 2012
No Comments

Geneos Wealth Management Stockbroker Barred by FINRA

Geneos Wealth Management Stockbroker Barred by FINRA 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 May 18, 2012 October 18, 2014

Investors were unaware that the nest eggs they had entrusted their broker with were being used to for his personal expenses, including his gambling debts. While working as a registered…

Robert H. Rex
May 16, 2012
No Comments

FINRA Issues May 2012 Disciplinary Actions

FINRA Issues May 2012 Disciplinary Actions 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 May 16, 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. Follow this link to the FINRA…

Rex Securities Law
May 10, 2012
No Comments

SEC Investigating Inland American REIT

SEC Investigating Inland American REIT 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 May 10, 2012 February 16, 2016

According to the recent quarterly report (10Q for Q1), a copy of which can be found here on the company website, Inland American REIT is currently under investigation by the…

Rex Securities Law
May 9, 2012
No Comments

Retail Properties of America (formerly Inland Western REIT) Investors Pursue Broker Dealers

Retail Properties of America (formerly Inland Western REIT) Investors Pursue Broker Dealers 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 May 9, 2012 February 16, 2016

As we have previously reported, Inland Western Real Estate Investment Trust was recently converted, via a reverse merger, from its status as a non exchange-traded REIT to a publicly traded…

Rex Securities Law
May 5, 2012
No Comments

ETFs Under Examination by Senate Committee & Regulators

ETFs Under Examination by Senate Committee & Regulators 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 May 5, 2012 October 18, 2014

It is becoming apparent that exchange traded funds (ETFs) continue to arouse the attention of Washington and securities regulators. Early in the week FINRA levied over $9 million in fines…

Rex Securities Law
May 4, 2012
No Comments

Wonder What Worst Performing ETFs for 2011 Were?

Wonder What Worst Performing ETFs for 2011 Were? 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 May 4, 2012 October 18, 2014

It has been a big week for revelations in the world of exchange traded funds (ETFs) . The SEC hit Citigroup, Morgan Stanley , UBS and Wells Fargo with penalties…