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Cold Calling

William Biegel-Former Raymond James Broker- Discloses Settlement of Customer Dispute-Houston, TX
William Biegel-Former Raymond James Broker- Discloses Settlement of Customer Dispute-Houston, TX 150 150 Rex Securities Law

January  2019- Houston, TX According to publicly available records ,   William Herman Biegel (CRD#1301825)  a  stockbroker previously employed by Raymond James & Associates, discloses the recent settlement of a customer dispute.   The…

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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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Ryan M. Murnane-Former Alexander Capital Broker-Discloses Discharge and Customer/Regulatory Complaints
Ryan M. Murnane-Former Alexander Capital Broker-Discloses Discharge and Customer/Regulatory Complaints 150 150 Rex Securities Law

March 2017-New York According to publicly available records Ryan M. Murnane  , (CRD# 4784140) ,  a   former stockbroker who last worked for Alexander Capital and Woodstock Financial Group,  discloses a pending customer dispute, 5…

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Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY
Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY 150 150 Rex Securities Law

March 2017- New York According to publicly available records Robert Estevez , (CRD# 3161419) ,  a  stockbroker who previously worked for Investors Capital Corp and who is currently employed by Joseph Gunnar &…

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Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Rex Securities Law

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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Thomas Guerriero Sentenced on Oxford City Football Club Boiler Room Scam-South FLA
Thomas Guerriero Sentenced on Oxford City Football Club Boiler Room Scam-South FLA 150 150 Rex Securities Law

May 13, 2016 The Sun Sentinel reports that Thomas Guerriero, former director of British-based Oxford City Football Club was sentenced to 12 years and 7 months for his role in…

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West Palm Beach Man- Cecil Speight- Sentenced for Securities Fraud
West Palm Beach Man- Cecil Speight- Sentenced for Securities Fraud 150 150 Rex Securities Law

February 12, 2016 Cecil F. Speight of West Palm Beach, Florida, was sentenced to 42 months in prison following a guilty plea to conspiracy to commit mail and securities fraud.…

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Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator
Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator 150 150 Rex Securities Law

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority  (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

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