fbpx

Elder Financial Abuse

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.…

read more

Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY

Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Rex Securities Law

Sean Sullivan  Investigation September 2022- Melville, NY According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  customer disputes and a termination from employment. The Financial Industry…

read more

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX 150 150 Rex Securities Law

Nobles & Richards Fined by Securities Regulators May 2022-Plano, TX Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and…

read more

Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO

Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO 150 150 Rex Securities Law

Greg Williams Investigation November 2021-Greenwood, CO According to publicly available records,  Gregory Jon Williams, a former broker who was last employed by  Fort Finanical Group,  discloses  6 pending and  3 prior…

read more

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Rex Securities Law

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

read more

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX 150 150 Rex Securities Law

Doc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers  November 2021-Fort Worth, TX  “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…

read more

Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL

Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL 150 150 ER

Thomas Stratton Investigation September  2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker  who was last employed by World Choice Securities,  discloses a prior regulatory matter…

read more