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Monthly Archives :

July 2015

Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien
Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien 150 150 Rex Securities Law

July 1, 2015 John Allen Brown entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in June 2015 he…

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Raymond James Agrees to Return $4.4 Million in Mutual Fund Overcharges
Raymond James Agrees to Return $4.4 Million in Mutual Fund Overcharges 150 150 Rex Securities Law

July 6, 2015 Raymond James & Associates  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2009…

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Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas
Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas 150 150 Rex Securities Law

July 10, 2015 The Dallas Morning News reports that Justin Spearman, 27, of Winter Park, Florida, has been charged in the Eastern District of Texas with wire fraud in connection…

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SEC Charges B.J. Gallison and 33 Others -From Costa Rica to California–in Penny Stock Scheme
SEC Charges B.J. Gallison and 33 Others -From Costa Rica to California–in Penny Stock Scheme 150 150 Rex Securities Law

July 14, 2015-Washington DC The Securities and Exchange Commission (SEC) charged 15 individuals and 19 companies in a penny stock pump and dump scheme. The SEC complaint alleges that Moneyline…

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North Carolina Securities Division July 2015 Newsletter
North Carolina Securities Division July 2015 Newsletter 150 150 Rex Securities Law

July  2015- Raleigh, North Carolina The North Carolina Securities Division of the Department of the Secretary of State issues a monthly newsletter highlighting recent enforcement actions for securities violations and other…

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Orlando Florida Man Sentenced for Defrauding Investors
Orlando Florida Man Sentenced for Defrauding Investors 150 150 Rex Securities Law

July 13, 2015- Orlando, Florida The FBI announced in a Press Release that Dante S. Giovannetti, 50, of Orlando, Florida, was sentenced to 63 months in federal prison for wire fraud. He was also…

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Naples Florida Man Pleads Guilty in DG Wealth Management Investment Scheme
Naples Florida Man Pleads Guilty in DG Wealth Management Investment Scheme 150 150 Rex Securities Law

July 13, 2015- Fort Myers, Florida The FBI announced in a Press Release that Dorian Graves, 30, of Naples, Florida, pleaded guilty to wire fraud for operating an investment scheme…

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Wisconsin Securities Regulators Issue Orders Re: Sale of Unregistered Securities
Wisconsin Securities Regulators Issue Orders Re: Sale of Unregistered Securities 150 150 Rex Securities Law

July 2015 The Wisconsin  Division of Securities registers and monitors the activities of broker-dealers, securities agents, investment advisers, and investment adviser representatives. It also conducts field audits and investigates complaints…

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Investigation of William Tatro-Former First Allied Securities Stock Broker
Investigation of William Tatro-Former First Allied Securities Stock Broker 150 150 Rex Securities Law

July 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. According to FINRA records, Tatro was permanently barred from the securities industry in…

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