July 1, 2015
Hector Perez , a/k/a Bruce Johnson , entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he and five other individuals fraudulently sold nearly $3 million worth of Senior Secured Zero Coupon Notes issued by Metals, Milling and Mining LLC in a private offering. The investors, who were promised a return of 100 percent in one year lost all their money.
FINRA alleged that Perez failed to conduct a reasonable investigation of the viability and legitimacy in the face of numerous red flags indicating that the offering was a fraud.
Disciplinary Proceeding No. 2010024522103
Perez was barred from the securities industry.
According to FINRA records, Perez was registered with HFP Capital Markets from 2/2009-10/2013. HFP was expelled by FINRA 6/2014. Perez was registered with Global Arena Capital from 10/2013-6/2015 and with Rockwell Global Capital from 6/2015-6/2015.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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