securities attorney Archives - Page 78 of 79

Rex Securities Law
March 5, 2015
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IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 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 March 5, 2015 April 28, 2016

March 3, 2015 – Watertown, NY Brian Scott Exford 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…

Rex Securities Law
March 4, 2015
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Tarpon Springs Florida Man Arrested for Securities Fraud

Tarpon Springs Florida Man Arrested for 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 March 4, 2015 April 28, 2016

March 3, 2015- Tallahassee, Florida The Florida Office of Financial Regulation (OFR) announced that John Edward Simpson was arrested in Tarpon Springs, Florida, and has been charged with securities fraud,…

Rex Securities Law
March 1, 2015
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“Wings Network” Named by SEC in Ponzi Scheme Targeting Latinos

“Wings Network” Named by SEC in Ponzi Scheme Targeting Latinos 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 March 1, 2015 April 28, 2016

February 27, 2015 The U.S. Securities & Exchange Commission (SEC) filed charges against 3 company officers and 12 promoters who were operating an international pyramid scheme using Portuguese companies operating…

Rex Securities Law
February 27, 2015
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Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action

Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action 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 February 27, 2015 May 5, 2016

February 27, 2015- Ft. Lauderdale, FL The InvestmentNews reports that Newbridge Securities Corp. , which is headquartered in Ft. Lauderdale, Florida, has agreed to pay $850,000 to resolve a class action…

Rex Securities Law
February 25, 2015
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Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA

Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA 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 February 25, 2015 February 18, 2019

February 23, 2015 Gregory James Bolduc entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while registered with UnionBanc Investment Services,…

Rex Securities Law
February 25, 2015
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Former Securities America Broker in Gilbert, AZ, Sanctioned by Securities Regulator

Former Securities America Broker in Gilbert, AZ, Sanctioned by Securities Regulator 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 February 25, 2015 May 5, 2016

February 23, 2015 James Rosebrough entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

Rex Securities Law
February 25, 2015
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North Charleston Investment Advisor Sanctioned by South Carolina Securities Regulator

North Charleston Investment Advisor Sanctioned by South Carolina Securities Regulator 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 February 25, 2015 May 5, 2016

February 20, 2015- North Charleston, South Carolina Jesse Clifton Dove and his registered investment adviser company Investment Advisory Center, Inc. entered into a Consent Order with the Securities Commissioner of…

Rex Securities Law
February 20, 2015
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Plano Texas Man Convicted in Fictional Disney Scam

Plano Texas Man Convicted in Fictional Disney Scam 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 February 20, 2015 May 5, 2016

February 20, 2015-Sherman, Texas The FBI , Dallas Division, announced that Thomas W. Lucas, Jr. , 35, of Plano, Texas, has been found guilty of federal wire fraud violations as…

Rex Securities Law
February 18, 2015
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Dante S. Giovannetti Of Orlando, FL, Indicted on Investment Fraud

Dante S. Giovannetti Of Orlando, FL, Indicted on Investment 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 February 18, 2015 May 5, 2016

February 18, 2015-Orlando, Florida According to the Tampa Division of the Federal Bureau of Investigation (FBI), Dante S. Giovannetti, age 50, has been indicted and charged with five counts of…