February 2015 - Page 2 of 3 - Rex Securities Law-BLOG

Rex Securities Law
February 25, 2015
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North Charleston Investment Advisor Sanctioned by South Carolina Securities Regulator

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February 20, 2015- North Charleston, South Carolina Jesse Clifton Dove and his registered investment adviser company Investment Advisory Center, Inc. entered into a Consent Order with the Securities Commissioner of…

Rex Securities Law
February 20, 2015
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Plano Texas Man Convicted in Fictional Disney Scam

Plano Texas Man Convicted in Fictional Disney Scam http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 20, 2015 May 5, 2016

February 20, 2015-Sherman, Texas The FBI , Dallas Division, announced that Thomas W. Lucas, Jr. , 35, of Plano, Texas, has been found guilty of federal wire fraud violations as…

Rex Securities Law
February 20, 2015
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Donald Saccomano- Former Source Capital Group Broker-Suspended by Regulator-Westport, CT

Donald Saccomano- Former Source Capital Group Broker-Suspended by Regulator-Westport, CT http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 20, 2015 May 11, 2017

Westport, CT UPDATE APRIL 2017–Donald Saccomano was suspended by FINRA in 4/2017 for failing to respond to a FINRA request for information. FINRA records indicate that he ceased working for Source…

Rex Securities Law
February 18, 2015
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Dante S. Giovannetti Of Orlando, FL, Indicted on Investment Fraud

Dante S. Giovannetti Of Orlando, FL, Indicted on Investment Fraud http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 18, 2015 May 5, 2016

February 18, 2015-Orlando, Florida According to the Tampa Division of the Federal Bureau of Investigation (FBI), Dante S. Giovannetti, age 50, has been indicted and charged with five counts of…

Rex Securities Law
February 18, 2015
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Lincoln Nebraska Couple Pleads Guilty to Investment Scam

Lincoln Nebraska Couple Pleads Guilty to Investment Scam http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 18, 2015 May 5, 2016

February 18, 2015- Lincoln, Nebraska The JournalStar.com reports that Scott and Robin Usher of Lincoln have admitted duping investors out of about $750,000 in a scheme involving phony inventions and…

Rex Securities Law
February 17, 2015
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B.B. Graham & Co. Broker in Katy, Texas, Sanctioned by Securities Regulator

B.B. Graham & Co. Broker in Katy, Texas, Sanctioned by Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2015 May 5, 2016

December 5, 2014-Katy, Texas Henry McLain Dickinson, III entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between September 2009 and November…

Rex Securities Law
February 17, 2015
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Sanders Morris Harris Sanctioned by Securities Regulator

Sanders Morris Harris Sanctioned by Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2015 May 5, 2016

December 31, 2014-Houston, Texas Sanders Morris Harris, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, as a…

Rex Securities Law
February 17, 2015
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OneAmerica Securities Investigated for Failing to Supervise Option Trading

OneAmerica Securities Investigated for Failing to Supervise Option Trading http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2015 May 5, 2016

February 13, 2015 OneAmerica Securities, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…

Rex Securities Law
February 17, 2015
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Racine Broker Michael Cuccia Sanctioned by Securities Regulator

Racine Broker Michael Cuccia Sanctioned by Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2015 May 5, 2016

February 13, 2015-Racine, Wisconsin Michael F. Cuccia entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents, made loans…