October 19, 2015 Former Coastal Equities broker Michael Donnelly of Lecanto, Florida, admitting defrauding his clients and to disgorge over $2.2 million. In addition he consented to an SEC order…
read morehttp://blog.rexsecuritieslaw.com/2018/03/23/raymond-j-pirrello-jr-churning-investigation/ UPDATE July 2016–Pirrello named in insider trading complaint filed by the Securities and Exchange commission. See this for details. UPDATE June 2016-Former Garden State Securities stock broker Raymond J. Pirrello…
read moreFebruary 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…
read moreMarch 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…
read moreMARCH 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…
read moreMarch 14, 2016 The Investment News reports that Daniel Thibeault pleaded guilty to criminal charges that he defrauded fund investors of GL Capital Partners out of $15 million by leading…
read moreMarch 10, 2016- Washington, DC The Securities & Exchange Commission (SEC) charged Oregon based Aequitas Management and its top three executives, CEO Robert J. Jesenik, executive VP Brian A. Oliver,…
read moreMarch 9, 2016- Jay Fung, 42, of Delray Beach, FL, pleaded guilty to an information which charged him with conspiracy to commit securities fraud . Fung admitted to an insider…
read moreUPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…
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