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Penny Stocks

Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL

Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL 150 150 Rex Securities Law

February 2019-Tampa, FL The U.S. Securities & Exchange Commission (SEC) issued a litigation release on 2/21/2019 charging Spartan Securities Group, Ltd. , Island Capital Management, LLC, Carl E. Dilley, Micah…

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SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island

SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island 150 150 Rex Securities Law

July 2017 Thirteen individuals from two Long Island-based boiler rooms were charged with securities fraud by the Securities and Exchange Commission who alleges that they made hundreds of thousands of…

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Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA

Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA 150 150 Rex Securities Law

May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) ,  a  stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…

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Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL

Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL 150 150 Rex Securities Law

December 2016-Davie, FL The FINRA records of  Mark B. Beloyan,  a  stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…

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Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes

Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes 150 150 Rex Securities Law

July 2016-New York The FINRA records of Michael S. Lavolpe  , a  currently unlicensed stockbroker who was  most recently employed by  Meyers Associates  , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…

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Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning

Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning 150 150 Rex Securities Law

MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber ,  a broker who has been  registered  with Feltl & Company since  12/2006 , discloses five prior customer disputes, two final regulatory…

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Jason Harris Klabal Investigation-Legend Securities Broker

Jason Harris Klabal Investigation-Legend Securities Broker 150 150 Rex Securities Law

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration  (FINRA Case 15-484) by a customer who…

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Losses on GTAT ? Recovery Options For Investors

Losses on GTAT ? Recovery Options For Investors 150 150 Rex Securities Law

If you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…

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Legend Securities Fined $300,000 by S. Carolina Securities Regulators

Legend Securities Fined $300,000 by S. Carolina Securities Regulators 150 150 Rex Securities Law

March 18, 2016-Columbia, South Carolina Legend Securities was named in Administrative Order File Number 14108 filed  by the Securities Division of the Office of the Attorney General of South Carolina for…

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