fbpx
Monthly Archives :

March 2015

Convicted Irving Texas “Salad Bowl” Fraudster Pleads Guilty to Failure to Surrender
Convicted Irving Texas “Salad Bowl” Fraudster Pleads Guilty to Failure to Surrender 150 150 Rex Securities Law

March 17,2015-Irving Texas The FBI announced that Michael David Carroll, 39, pleaded guilty to the federal offense of failing to surrender to serve a 70 month sentence in an investor…

read more

Texans Sentenced in Mortgage Fraud Conspiracy in East Texas
Texans Sentenced in Mortgage Fraud Conspiracy in East Texas 150 150 Rex Securities Law

March 17, 2015-Plano, Texas The FBI, Dallas Division, announced that five defendants have been sentenced for their roles in a mortgage fraud conspiracy in a hearing before U.S. District Judge…

read more

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens
Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens 150 150 Rex Securities Law

March 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray  Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…

read more

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker
H.D. Vest Sanctioned by SEC For Failing to Supervise Broker 150 150 Rex Securities Law

March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc.  failed to supervise Michigan broker Lewis J.…

read more

Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud
Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud 150 150 Rex Securities Law

March 5, 2015 The Buffalo News reports that Gregory W. Gray, Jr. of Buffalo, New York, recently charged by the SEC for operating a ponzi-like scheme, was arrested at his…

read more

Girard Securities Acquisition Closed by RCS Capital Group
Girard Securities Acquisition Closed by RCS Capital Group 150 150 Rex Securities Law

March 12, 2015 RCS Capital Corporation announced that it closed the acquisition of Girard Securities. Girard Securities has over  $10  billion of assets and 250 financial advisors. They become a part of the  Cetera…

read more

RCS Capital Closes Deal on Acquisition of VSR Financial
RCS Capital Closes Deal on Acquisition of VSR Financial 150 150 Rex Securities Law

March 5, 2015 RCS Capital Corporation announced that it closed the acquisition of VSR Group, Inc. and VSR Financial Services, Inc., which had been announced months ago. VSR Financial is based…

read more

Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine
Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine 150 150 Rex Securities Law

March 11, 2015- A default judgment was entered against former Pompano Beach, FL, lawyer Guy Jean-Pierre (aka Marcelo Dominguez de Guerra) in favor of the Securities and Exchange Commission (SEC).…

read more

Gary Williky Named in Securities Fraud Action- Colleyville, Texas
Gary Williky Named in Securities Fraud Action- Colleyville, Texas 150 150 Rex Securities Law

March 2, 2015-Colleyville, Texas The U.S. Securities & Exchange Commission (SEC) filed a complaint seeking an injunction alleging that Gary S. Williky of Colleyville, Texas perpetrated an illegal market manipulation and…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com