March 2016 - Page 6 of 11 - Rex Securities Law-BLOG

Rex Securities Law
March 22, 2016
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Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL 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 March 22, 2016 March 22, 2016

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

Rex Securities Law
March 22, 2016
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Oil Collapse Creates Losses for Retirees-How to Recover Oil and Gas Losses

Oil Collapse Creates Losses for Retirees-How to Recover Oil and Gas Losses 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 March 22, 2016 March 22, 2016

MARCH 2016-After the dramatic collapse of oil prices in the past year, it is apparent that a 2013 SEC investor alert, which we discussed nearly three years ago, was something investor would…

Rex Securities Law
March 22, 2016
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Bennett Kight Indicted on Federal Fraud Charges-Atlanta

Bennett Kight Indicted on Federal Fraud Charges-Atlanta 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 March 22, 2016 March 22, 2016

March 21, 2016-Atlanta, GA Attorney Bennett L. Kight, 75, was indicted on federal charges of mail fraud and accused of misappropriating $2 million from an elderly client while he was acting…

Rex Securities Law
March 21, 2016
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Losses on Bradford Energy Capital ? How to Recover Damages.

Losses on Bradford Energy Capital ? How to Recover Damages. 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 March 21, 2016 March 21, 2016

March 21, 2016 The Bradford companies, including Bradford Exploration, Inc. , Bradford Energy, LLC and Bradford Energy Capital have been general partner of more than 40 limited partnerships which raised…

Rex Securities Law
March 21, 2016
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James Poe of Ft. Worth Sanctioned for Sale of Life Settlements

James Poe of Ft. Worth Sanctioned for Sale of Life Settlements 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 March 21, 2016 April 1, 2016

March 21, 2016- Austin, Texas The Texas State Securities Board (TSSB) entered an order revoking the registration of Fort Worth investment adviser James Poe as well as his company, James…

Rex Securities Law
March 21, 2016
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Anton Paul Drago Convicted of Fraud-Nigerian Oil Scheme

Anton Paul Drago Convicted of Fraud-Nigerian Oil Scheme 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 March 21, 2016 January 29, 2018

March 19, 2016-Las Vegas A jury in Las Vegas found Anton Paul Drago guilty on 10 charges including conspiracy, fraud and theft of government funds, Drago, together with co-defendant, Joseph…

Rex Securities Law
March 21, 2016
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Citadel Securities-Numerous Recent Regulatory Sanctions

Citadel Securities-Numerous Recent Regulatory Sanctions 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 March 21, 2016 March 27, 2016

March 2016 According to FINRA records, Citadel Securities has a number of regulatory sanctions over the recent years, including the following: October 2015 FINRA Sanction- The firm used a trading logic that…

Rex Securities Law
March 20, 2016
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Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments

Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments 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 March 20, 2016 March 20, 2016

MARCH 2016-After the dramatic collapse of oil prices in the past year, it is apparent that a 2013 SEC investor alert, which we discussed nearly three years ago, was something investor would…

Rex Securities Law
March 18, 2016
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Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint

Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint 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 March 18, 2016 January 8, 2017

March 16, 2016-Uniondale, New York Beyn’s Excessive Trading Generated Commissions of $1.7M The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Craig Scott Capital broker Edward Beyn alleging…