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Rex Securities Law-BLOG

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

FINRA Warns Investors to Be Wary of Nutraceutical Stock Scams

FINRA Warns Investors to Be Wary of Nutraceutical Stock Scams 150 150 Rex Securities Law

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…

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SEC Charges Quantek Asset Management for Deceiving Investors

SEC Charges Quantek Asset Management for Deceiving Investors 150 150 Rex Securities Law

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…

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

FINRA Rules Against Lerner in First Apple Non-Exchange Traded REIT Case 150 150 Rex Securities Law

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…

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Geneos Wealth Management Stockbroker Barred by FINRA

Geneos Wealth Management Stockbroker Barred by FINRA 150 150 Rex Securities Law

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…

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FINRA Issues May 2012 Disciplinary Actions

FINRA Issues May 2012 Disciplinary Actions 150 150 Robert H. Rex

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…

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SEC Investigating Inland American REIT

SEC Investigating Inland American REIT 150 150 Rex Securities Law

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…

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

Retail Properties of America (formerly Inland Western REIT) Investors Pursue Broker Dealers 150 150 Rex Securities Law

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…

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ETFs Under Examination by Senate Committee & Regulators

ETFs Under Examination by Senate Committee & Regulators 150 150 Rex Securities Law

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…

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Wonder What Worst Performing ETFs for 2011 Were?

Wonder What Worst Performing ETFs for 2011 Were? 150 150 Rex Securities Law

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…

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