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Stockbroker Malpractice

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Rex Securities Law

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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Tampa Woman Pleads Guilty to Embezzlement of Church Funds
Tampa Woman Pleads Guilty to Embezzlement of Church Funds 150 150 Rex Securities Law

July 2 , 2015-Tampa, FL The FBI announced that Juliet Ellis, 45, pleaded guilty to one count of wire fraud in connection with the embezzlement of funds from Palma Ceia…

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SEC Issues Investor Alert: Five Red Flags of Investment Fraud
SEC Issues Investor Alert: Five Red Flags of Investment Fraud 150 150 Rex Securities Law

June 15, 2015 The U.S. Securities and Exchange Commission Office of Investor Education issued an Investor Alert pointing out the Five Red Flags of Investment Fraud: Promises of High Returns…

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Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements
Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements 150 150 Rex Securities Law

June 18, 2015-Boston, MA Lucian D. Hodgman  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May and July…

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Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity
Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity 150 150 Rex Securities Law

June 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay  a customer over $1.2 million on claims of negligence, unsuitability, breach…

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Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme
Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme 150 150 Rex Securities Law

June 17, 2015-Palm Beach County Florida Jeffrey Schuler, 54, of Boynton Beach, Florida pled guilty to one count of wire fraud, in connection with the operation of Fort Lauderdale based…

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Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts
Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 150 150 Rex Securities Law

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

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Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s
Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 150 150 Rex Securities Law

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…

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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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