recover investment losses Archives - Page 199 of 210

Rex Securities Law
June 26, 2015
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South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 26, 2015 April 14, 2016

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

Rex Securities Law
June 25, 2015
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San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board

San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 25, 2015 February 11, 2016

June 23, 2015-Austin, Texas John Morgan, Texas Securities Commissioner, entered a Cease and Desist Order against Petro-San Resources LLC and Sean Patrick Riley of San Antonio, Texas, alleging that they…

Rex Securities Law
June 24, 2015
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Allstate Financial Services Broker Barred For Falsifying Insurance Applications

Allstate Financial Services Broker Barred For Falsifying Insurance Applications https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 24, 2015 April 14, 2016

June 23, 2015 Michael G. Seidel entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted falsified applications…

Rex Securities Law
June 24, 2015
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Dirk Rabenold-NEXT Financial Group Broker-Discloses Settlement of Customer Arbitration

Dirk Rabenold-NEXT Financial Group Broker-Discloses Settlement of Customer Arbitration https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 24, 2015 June 20, 2017

UPDATE JUNE 2017– FINRA Case 15-2763, which was filed against Dirk Rabenold by a customer of NEXT Financial Group customer alleged that Rabenold recommended an unsuitable investment and sought damages of…

Rex Securities Law
June 23, 2015
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SEC Issues Investor Alert: Five Red Flags of Investment Fraud

SEC Issues Investor Alert: Five Red Flags of Investment Fraud https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 23, 2015 February 11, 2016

June 15, 2015 The U.S. Securities and Exchange Commission Office of Investor Education issued an Investor Alert pointing out the Five Red Flags of Investment Fraud: Promises of High Returns…

Rex Securities Law
June 23, 2015
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SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud

SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 23, 2015 February 11, 2016

June 18, 2015 The Securities and Exchange Commission (SEC) filed an action charging Norstra Energy, based in Southlake, Texas and its CEO Glen Landry with defrauding investors about reserve estimates…

Rex Securities Law
June 22, 2015
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Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2015 April 12, 2017

June 22, 2015 Tyler Powell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he exercised discretion in a…

Rex Securities Law
June 22, 2015
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Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents

Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2015 February 25, 2019

February 2019-Carmichael, CA Dean M. Yurica entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents related…

Rex Securities Law
June 22, 2015
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Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry

Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2015 April 14, 2016

June 19, 2015 Justin Amaral entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…