fbpx

Rex Securities Law-BLOG

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

Laidlaw & Company Discloses Regulatory Matters & Customer Disputes
Laidlaw & Company Discloses Regulatory Matters & Customer Disputes 150 150 Rex Securities Law

May 2019 According to publicly available records  Laidlaw & Company (UK) Ltd.  , a FINRA registered broker dealer discloses 5 prior regulatory events and 2 prior customer arbitrations. The Financial…

read more

Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery
Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery 150 150 Rex Securities Law

May 2019 – Dallas, Texas In March 2019, the Securities and Exchange Commission charged Texas based Cardinal Energy Group (CEGX) and former CEO Timothy W. Crawford with fraudulently concealing the…

read more

Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA
Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA 150 150 Rex Securities Law

May 2019 – Baton Rouge, LA According to publicly available records, former LPL Financial financial advisor Scott P. Klor discloses a recent regulatory event and a termination from employment. The…

read more

Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages
Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages 150 150 Rex Securities Law

February 2020 Investors who have suffered losses as a result of investing in the UBS Yield Enhancement Strategy program (UBS YES Trading Program) may be able to recover damages through…

read more

Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL
Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL 150 150 Rex Securities Law

April 2019 – Albertville, AL According to publicly available records Floyd Earl Powell  (CRD#2220029) ,  a  stockbroker who is currently not registered,  discloses a regulatory event, 2 pending and 3 final…

read more

Stacey Sanders Sentenced to Federal Prison on Bank Fraud Charge-Fredericksburg, TX
Stacey Sanders Sentenced to Federal Prison on Bank Fraud Charge-Fredericksburg, TX 150 150 Rex Securities Law

February 2019-Fredericksburg, TX A federal judge in San Antonio has sentenced 52-year-old Stacey A. Sanders of Fredericksburg, TX,  to 27 months imprisonment.  The former office manager of Memorial Presbyterian Church,…

read more

Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas
Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas 150 150 Rex Securities Law

April 2019- Llano, Texas The US Attorney’s Office for the Western District of Texas announced that 45 year old Kelley Ranae Jones was sentenced to three years in federal prison…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com