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Frederick Monroe- Voya Financial Broker -Operating Ponzi Scheme Pleads Guilty to Money Laundering and Larceny
Frederick Monroe- Voya Financial Broker -Operating Ponzi Scheme Pleads Guilty to Money Laundering and Larceny 150 150 Rex Securities Law

December 23, 2015- Albany, NY The Albany TimesUnion  reports that Queensbury stockbroker Frederick E. Monroe pleaded guilty to money laundering and grand larceny. According to the report, Monroe was operating…

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Texas State Securities Board Fines Carrollton, TX, Investment Adviser
Texas State Securities Board Fines Carrollton, TX, Investment Adviser 150 150 Rex Securities Law

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order against Mike Reed Hall of Carrollton, TX, and assessed a fine of $5,000…

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Nine Indicted in South Florida in Oxford City Football Club Securities Fraud
Nine Indicted in South Florida in Oxford City Football Club Securities Fraud 150 150 Rex Securities Law

December 11., 2015-  Miami, Florida The FBI reports that nine individuals have been indicted for operating a Broward County telemarketing scheme (aka “boiler room”) that caused investors nationwide to lose…

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LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken
LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken 150 150 Rex Securities Law

October 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…

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Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN
Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN 150 150 Rex Securities Law

October 13, 2015-Danbury, CN Jeffrey David Snyder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he repeatedly refused…

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William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX
William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX 150 150 Rex Securities Law

JANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois
Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois 150 150 Rex Securities Law

October 13, 2015 Jose Luis Rodriguez , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully violated FINRA by-laws…

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Losses on RCS Capital (RCAP) ? Recovery Options for Investors.
Losses on RCS Capital (RCAP) ? Recovery Options for Investors. 150 150 Rex Securities Law

December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…

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Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry
Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry 150 150 Rex Securities Law

October 6, 2015 – Lexington, SC Joseph Murry Snyder, III  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

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