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Rex Securities Law-BLOG

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

Miami Resident John Utsick Pleads Guilty In $200M Fraud Scheme
Miami Resident John Utsick Pleads Guilty In $200M Fraud Scheme 150 150 Rex Securities Law

June 15, 2016-Miami, Florida The US Attorney’s Office for the Southern District of Florida announced that John Utsick, 75, of Miami Beach, FL, pled guilty for his role in a…

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Carol Rushton-Former Regions Bank VP In Tyler, TX-Sentenced for Banking Violations
Carol Rushton-Former Regions Bank VP In Tyler, TX-Sentenced for Banking Violations 150 150 Rex Securities Law

June 14, 2016- Tyler, Texas The US Attorney’s Office for the Eastern District of Texas announced the sentencing of Carol D. Rushton to 36 months of federal probation, a fine…

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Ronald Earl McCullough-Raleigh, NC-FBI Offers Reward
Ronald Earl McCullough-Raleigh, NC-FBI Offers Reward 150 150 Rex Securities Law

June 16. 2016-Charlotte, North Carolina The FBI announced a $5,000 reward for assistance in locating Ronald Earl McCullough who, by portraying himself as a religious leader, was able to over…

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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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David L. Hannett Sr.-Invest Financial Broker-Discloses $5M Customer Dispute
David L. Hannett Sr.-Invest Financial Broker-Discloses $5M Customer Dispute 150 150 Rex Securities Law

Vienna, VA According to FINRA records,  David L. Hannett, Sr. ,  a stockbroker  who works  for Invest Financial Corp. discloses  a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments
Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments 150 150 Rex Securities Law

August 2019-Huntington Beach, CA According to FINRA records,  Jack G. Merritt ,  a stockbroker  who works  for Crown Capital Securities  discloses  the settlement of a  customer dispute . The Financial Industry Regulatory Authority (FINRA) is…

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Steven Stahler-Former VSR Financial Broker-Discloses Numerous Customer Complaints
Steven Stahler-Former VSR Financial Broker-Discloses Numerous Customer Complaints 150 150 Rex Securities Law

Baton Rouge, LA UPDATE December 2016-Publicly available records disclose that in December 2016 a customer of Steven Stahler filed FINRA arbitration #16-3594 alleging damages for unsuitable investments in direct investments,…

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Barrett & Company Ordered to Pay Former Customers Over $267K by Arbitration Panel
Barrett & Company Ordered to Pay Former Customers Over $267K by Arbitration Panel 150 150 Rex Securities Law

Providence, Rhode Island A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered brokerage firm Barrett & Company  and two of its brokers, Wilson Gordon Saville and Charles Edward White, to…

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Legend Securities Loses Arbitration Hearing Brought by Former Customer
Legend Securities Loses Arbitration Hearing Brought by Former Customer 150 150 Rex Securities Law

Tampa, Florida A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages of over $150,000 to two former customers of Legend Securities, Inc. who brought the action for losses suffered…

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