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Monthly Archives :

December 2016

Mid Atlantic Capital Ordered to Pay $922K to Customers-Denver, CO

Mid Atlantic Capital Ordered to Pay $922K to Customers-Denver, CO 150 150 Rex Securities Law

December 2016-Denver, Colorado Brokerage firm Mid Atlantic Capital was ordered to pay a married couple $922,000 by a FINRA arbitration panel for damages they suffered to their brokerage account as…

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Wesley Woodyard Pleads Guilty in $4.6M Fraud Scheme-Dallas,TX

Wesley Woodyard Pleads Guilty in $4.6M Fraud Scheme-Dallas,TX 150 150 Rex Securities Law

December 2016-Dallas, Texas Wesley Michael Woodyard, 65, pleaded guilty to one count of wire fraud in connection with a $4.6 million fraudulent scheme involving Ace European Insurance Company (ACE). According…

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Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers

Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers 150 150 Rex Securities Law

December 2016 Wells Fargo was censured and fined $1,000,000 by the Financial Industry Regulatory Authority over its lack of supervision related to the preparation and dissemination of consolidated reports showing…

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Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators

Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators 150 150 Rex Securities Law

December 2016-Georgetown, Texas The FINRA records of  Michael Ramon Delao,  a  stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…

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John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit

John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit 150 150 Rex Securities Law

December 2016-Hunt Valley, MD The FINRA records of  John Scott Simpson,  a  stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…

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Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL

Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL 150 150 Rex Securities Law

December 2016-Davie, FL The FINRA records of  Mark B. Beloyan,  a  stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…

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Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Rex Securities Law

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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