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Monthly Archives :

March 2016

Legend Securities Fined $125,000 Over Penny Stock Sales
Legend Securities Fined $125,000 Over Penny Stock Sales 150 150 Rex Securities Law

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

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Recovery Options for Investors Purchasing Private Placements From World Equity Group
Recovery Options for Investors Purchasing Private Placements From World Equity Group 150 150 Rex Securities Law

If you have losses on private placement investments or exchange traded funds (ETFs) purchased from World Equity Group, we may be able to help you recover damages. World Equity Group…

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Vertical Fund Investment Losses? How to Recover Damages.
Vertical Fund Investment Losses? How to Recover Damages. 150 150 Rex Securities Law

We are investigating options for investors who may have suffered losses as a result of investing in Vertical Fund private placement investments, including the following: Vertical US Recovery Fund  Vertical…

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BJ Gallison Sentenced on Pump & Dump Securities Fraud
BJ Gallison Sentenced on Pump & Dump Securities Fraud 150 150 Rex Securities Law

March 18, 2016-San Diego The San Diego Reader reports that B. J. Gallison was sentenced to 18 years in prison for wire fraud and money laundering in connection with an…

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Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX
Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX 150 150 Rex Securities Law

March 22, 2016-Austin, Texas Texas Securities Commissioner John Morgan revoked the investment adviser representative registration of Sarah Helen Hancock, of Dallas, TX, effective April 15, 2016.  In addition Hancock was…

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Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton
Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton 150 150 Rex Securities Law

January 15, 2016-Boca Raton, FL Morissa F. Rivo, formerly a broker with Signator Investors,   entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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Nathan Halsey / TexStar Oil Sued for Fraud by SEC- Dallas, TX
Nathan Halsey / TexStar Oil Sued for Fraud by SEC- Dallas, TX 150 150 Rex Securities Law

February 19, 2016- Dallas, TX The Securities and Exchange Commission filed charges against Nathan Halsey, 35, of Dallas, TX and TexStar Oil, Ltd. charging them with fraudulently offering securities through misleading…

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Eleven East Texans Charged in Northeast Texas Opportunities Fraud Conspiracy
Eleven East Texans Charged in Northeast Texas Opportunities Fraud Conspiracy 150 150 Rex Securities Law

March 2, 2016-Texarkana, Texas The US Attorney’s Office announced the indictment of eleven individuals on federal charges including conspiracy to commit an offense and to defraud the U.S. government. The…

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