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Money Laundering

Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX
Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX 150 150 Rex Securities Law

Fraudulent Artificial Intelligence Investment Scheme Target of Texas Securities Regulator Austin, TX-April 2023 The Texas State Securities Board (TSSB) issued an emergency Cease and Desist Order against Bucharest, Romania based…

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North Carolina Securities Regulators Latest Enforcement News September 2022
North Carolina Securities Regulators Latest Enforcement News September 2022 150 150 Rex Securities Law

Securities Enforcement Actions  Securities Division- North Carolina Secretary of State   Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…

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Mariva Capital Markets Censured/Fined by Regulator-Miami,FL
Mariva Capital Markets Censured/Fined by Regulator-Miami,FL 150 150 Rex Securities Law

June 2017-Miami, FL According to publicly available records Mariva Capital Markets LLC (CRD#2296303) (“MCM”) ,  a  Miami-based broker dealer who has been a FINRA member since 2013 disclose a recent regulatory event. The…

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Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and Fraud
Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and Fraud 150 150 Rex Securities Law

October 2016-Tampa, Florida Licensed Texas attorney Perry Don Cortese, 53, of Little River, Texas, was found guilty of conspiracy to commit international money laundering and conspiracy to commit mail and wire…

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Legend Securities Fined $125,000 Over Penny Stock Sales
Legend Securities Fined $125,000 Over Penny Stock Sales 150 150 Rex Securities Law

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

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Larry & Dixie Masino Convicted in Bingo Related Fraud Scheme-Fort Walton Beach, FL
Larry & Dixie Masino Convicted in Bingo Related Fraud Scheme-Fort Walton Beach, FL 150 150 Rex Securities Law

UPDATE FEBRUARY 2018-The Pensacola News Journal reports that Larry Masino and Dixie Masino were convicted of wire fraud conspiracy, operating an illegal gambling business and money laundering conspiracy. According to…

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Miami Based Brickell Global Markets (formerly E.S. Financial Services) Pays $1 Million to Settle SEC Charges
Miami Based Brickell Global Markets (formerly E.S. Financial Services) Pays $1 Million to Settle SEC Charges 150 150 Rex Securities Law

February 4, 2016- Miami, Florida The Securities & Exchange Commission (SEC) announced that Miami based Brickell Global Markets (formerly E.S. Financial Services) agreed to pay a $1 million penalty to…

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Cape Securities Fined $125K by Securities Regulators
Cape Securities Fined $125K by Securities Regulators 150 150 Rex Securities Law

May 5, 2015 Cape Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

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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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