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Monthly Archives :

June 2015

Laurie Mayfield of Fredericksburg Texas Pleads Guilty to Wire Fraud
Laurie Mayfield of Fredericksburg Texas Pleads Guilty to Wire Fraud 150 150 Rex Securities Law

June 9, 2015-San Antonio, Texas Laurie Mayfield (aka “Laurie H. Scott“) , 54, of Fredericksburg, Texas, pleaded guilty to one count of wire fraud to resolve allegations that from January…

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North Carolina Securities Regulators Pursuing Securities Fraudsters
North Carolina Securities Regulators Pursuing Securities Fraudsters 150 150 Rex Securities Law

June 2015 In the June 2015 Newsletter the North Carolina Securities Division announced their involvement in the following cases: Darren Joseph Capote, of Patterson, NY, was indicted on July 11,…

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North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters
North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters 150 150 Rex Securities Law

June 2015-NC Securities Division The North Carolina Securities Division‘s June 2015 Newsletter announced the sentencing of the following individuals for securities related violations: Michael Anthony Jenkins pleaded guilty to three…

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Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection
Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection 150 150 Rex Securities Law

June 8, 2015-San Antonio, Texas Primera Energy filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the Western District of Texas. The filing came a day following…

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Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities
Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities 150 150 Rex Securities Law

May 15, 2015-Houston, Texas A FINRA (Financial Industry Regulatory Authority) arbitration panel in Houston, Texas, awarded over $1.1 million to a couple who filed a claim alleging that the annuities…

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Securities Service Network Acquires The Horizon Group
Securities Service Network Acquires The Horizon Group 150 150 Rex Securities Law

June 9, 2015 The Investment News reports that Knoxville, Tennessee-based broker dealer Securities Service Network (SSN) has acquired The Horizons Group, a firm previously affiliated with Cadaret, Grant & Co.…

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Investment Fraud Workshop Set for June 15, Salina Public Library
Investment Fraud Workshop Set for June 15, Salina Public Library 150 150 Rex Securities Law

A free workshop  discussing the tactics and schemes of fraudsters and scammers will be held on June 15, 2015, from 12:45-1:45pm at the Salina Public Library in the Prescott Meeting…

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Financial Services Firm CEO Sentenced to 10 Years Prison for Securities Fraud
Financial Services Firm CEO Sentenced to 10 Years Prison for Securities Fraud 150 150 Rex Securities Law

June 4, 2015 Everett C. Miller, 45, of Marlton, New Jersey was sentenced to 120 months in prison after pleading guilty before U.S. District Judge Renee Marie Bumb to one…

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Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry
Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry 150 150 Rex Securities Law

UPDATE-In October 2015, Otis Bradley was permanently barred from the securities industry by FINRA. Original Post–April 27, 2015 Otis T. Bradley, was named in a complaint filed by FINRA alleging…

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