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Rex Securities Law-BLOG

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

Guy Conger-Former Money Concepts Capital Broker-Sanctioned by Securities Regulator-San Antonio, TX
Guy Conger-Former Money Concepts Capital Broker-Sanctioned by Securities Regulator-San Antonio, TX 150 150 Rex Securities Law

February 2018-San Antonio, Texas According to publicly available records Guy C. Conger  , (CRD# 2280420) ,  a  stockbroker who last worked for Money Concepts Capital,  discloses that he was recently suspended for six months and…

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Heidi Wivolin-Former NEXT Financial Group Broker Sentenced to Two Years/ Shawn O’Sullivan Sentenced to 16 Months-Ft. Lauderdale, FL
Heidi Wivolin-Former NEXT Financial Group Broker Sentenced to Two Years/ Shawn O’Sullivan Sentenced to 16 Months-Ft. Lauderdale, FL 150 150 Rex Securities Law

June 20, 2018 UPDATE–Shawn O’Sullivan was sentenced to 16 months in prison followed by 3 years supervised release for his role in the theft which took place in the Manalapan…

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Redemption Programs Suspended On Your REIT and LP Investments?
Redemption Programs Suspended On Your REIT and LP Investments? 150 150 Rex Securities Law

If you have tried to redeem investments you made in real estate investment trusts (REITs) or limited partnerships (LPs) recently you may have received the bad news that the redemption…

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Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL
Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL 150 150 Rex Securities Law

February 2018-Jacksonville, FL According to publicly available records Melvin E. Case  , (CRD# 2393464) ,  a   former stockbroker who last worked for LPL Financial LLC,  discloses that he was recently sanctioned by securities regulators…

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Jimmy Moscoso-Former Lincoln Financial Advisor Broker-Barred From Securities Industry-Boca Raton, FL
Jimmy Moscoso-Former Lincoln Financial Advisor Broker-Barred From Securities Industry-Boca Raton, FL 150 150 Rex Securities Law

February 2018-Boca Raton, FL According to publicly available records Jimmy Oswald Moscoso  , (CRD# 2912265) ,  a   former stockbroker who last worked for Lincoln Financial Advisors,  discloses that he was recently barred from the…

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Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL
Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL 150 150 Rex Securities Law

March 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley  , (CRD# 1523981) ,  a   former stockbroker who last worked for Moors & Cabot,  discloses 3 prior regulatory events, 1 pending…

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Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order
Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order 150 150 Rex Securities Law

February 2018-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist Order against Jason A. Gilbert and Parker R. Hallam who are doing business through SourceRock…

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Losses On LJM Preservation and Growth Fund May Be Recoverable
Losses On LJM Preservation and Growth Fund May Be Recoverable 150 150 Rex Securities Law

April 2018 We are currently reviewing potential claims for investors who suffered losses in  LJM Preservation and Growth Fund (LJMIX & LJMCX) securities. Once close to a billion dollars, the…

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