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Monthly Archives :

August 2015

Armando Hernandez Leal Admits Laundering $66 Million From Mexican Investor-San Antonio
Armando Hernandez Leal Admits Laundering $66 Million From Mexican Investor-San Antonio 150 150 Rex Securities Law

August 26, 2015- San Antonio, Texas The FBI reports that Armando Jesus Hernandez Leal, 53, of Shavano Park, Texas, pleaded guilty to federal money laundering charges in connection with a…

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Dennis Flood of Medina County Ohio Sentenced For Insurance Scam
Dennis Flood of Medina County Ohio Sentenced For Insurance Scam 150 150 Rex Securities Law

August 26, 2015- Cleveland, Ohio Cleveland.com reports that Dennis Flood, 64, of Brunswick, Ohio, pleaded guilty to engaging in a pattern of corrupt activity and aggravated theft for stealing  from…

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St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015
St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015 150 150 Rex Securities Law

August 27, 2015- Slidell, Louisiana The St. Tammany SALT Council, the Council on Aging St. Tammany (COAST) and Gulf Coast Bank & Trust are holding a free seminar  on Financial…

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E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies
E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies 150 150 Rex Securities Law

June 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…

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Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft
Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft 150 150 Rex Securities Law

July 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…

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Former Cambridge Investment Research Broker Charged with Felony
Former Cambridge Investment Research Broker Charged with Felony 150 150 Rex Securities Law

August 19, 2015, Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and…

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Barry Hartman-FSC Securities Broker- Sanctioned by Regulator
Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Rex Securities Law

  Barry George Hartman , 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…

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Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies
Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies 150 150 Rex Securities Law

August19, 2015-Herndon, VA According to FINRA records, Yuvraj Taneja , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she electronically…

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Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV
Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV 150 150 Rex Securities Law

August19, 2015, Jack Allen Scherbert , 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 for on…

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