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Rex Securities Law
May 14, 2016
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William Risinger of Round Rock Texas Sentenced to 160 Months on Ponzi Scheme

William Risinger of Round Rock Texas Sentenced to 160 Months on Ponzi Scheme http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 14, 2016 May 14, 2016

May 2016-Austin, Texas The US Attorney’s Office for the Western District of Texas reports that William Risinger of Round Rock, Texas, was sentenced to 160 months in federal prison in…

Rex Securities Law
May 13, 2016
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Levert Caldwell Named in Customer Arbitration-National Securities Corporation

Levert Caldwell Named in Customer Arbitration-National Securities Corporation http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2016 May 13, 2016

May 2016- Staten Island The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

Rex Securities Law
May 13, 2016
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Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation

Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2016 May 13, 2016

Rex Securities Law
May 13, 2016
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Gabriel Block Barred From Securities Industry-Oppenheimer & Co.-Red Bank, NJ

Gabriel Block Barred From Securities Industry-Oppenheimer & Co.-Red Bank, NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2016 May 16, 2019

MAY 2019 UPDATE–Gabriel Block found guilty of unethical and dishonest practices, fined $750,000 by NJ regulators and barred from securities industry by FINRA. See this for details. May 2016- Red Bank, NJ…

Rex Securities Law
May 13, 2016
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Michael D. Teutonico Discloses Customer Arbitration-E.J. Sterling

Michael D. Teutonico Discloses Customer Arbitration-E.J. Sterling http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2016 May 13, 2016

May 2016- Lynbrook, New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

Rex Securities Law
May 13, 2016
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Rocco Cortese Discloses Tenant in Common (TIC) Customer Dispute

Rocco Cortese Discloses Tenant in Common (TIC) Customer Dispute http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2016 May 13, 2016

May 2016- San Francisco The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

Rex Securities Law
May 13, 2016
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Frank Dunn-Concorde Investment Services Broker-Discloses Settlement of Customer Dispute-The Woodlands, TX

Frank Dunn-Concorde Investment Services Broker-Discloses Settlement of Customer Dispute-The Woodlands, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2016 July 11, 2017

The Woodlands, Texas UPDATE JULY 2017-Public records reveal that n 12/2016 Frank T. Dunn, Jr. paid $22,500 to settle his portion of FINRA CASE 16-0611, discussed below. ORIGINAL POST-May 2016 The…

Rex Securities Law
May 13, 2016
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Delaney Equity Group of Palm Beach Gardens Named in SEC Complaint

Delaney Equity Group of Palm Beach Gardens Named in SEC Complaint http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2016 May 21, 2017

Palm Beach Gardens, Florida UPDATE MAY 2017-In 3/2017 FINRA fined Delaney Equity Group $40,000 and required revision to their written supervisory procedures for deficiencies related to short sales of equities…

Rex Securities Law
May 13, 2016
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Christopher Cervino-Former Cor Clearing StockBroker-Convicted of Securities Fraud

Christopher Cervino-Former Cor Clearing StockBroker-Convicted of Securities Fraud http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2016 May 25, 2017

UPDATE MARCH 2017–Christopher Cervino, 44, of Franklin Lakes, New Jersey was convicted of one count of conspiracy to commit securities fraud in connection with his role in a securities fraud scheme…