Rex Securities Law
September 9, 2022
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North Carolina Securities Regulators Latest Enforcement News September 2022

North Carolina Securities Regulators Latest Enforcement News September 2022 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 9, 2022 September 9, 2022

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.…

Rex Securities Law
September 1, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 1, 2022 September 1, 2022

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…

Rex Securities Law
August 24, 2022
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Can I Sue My Stockbroker or Financial Advisor for Losses?

Can I Sue My Stockbroker or Financial Advisor for Losses? https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 24, 2022 August 24, 2022

YES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…

Rex Securities Law
November 8, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 8, 2021 November 8, 2021

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…

Rex Securities Law
November 5, 2021
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Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 5, 2021 November 5, 2021

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…

Rex Securities Law
November 3, 2021
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“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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 3, 2021 November 3, 2021

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…

Rex Securities Law
September 16, 2021
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Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2021 September 16, 2021

September 2021- Austin, TX Texas Securities Commissioner Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

Rex Securities Law
September 15, 2021
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Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 15, 2021

September 2021- New York The FINRA records of Anthony Sica , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit, 3 regulatory sanctions and 3 prior…

Rex Securities Law
July 19, 2021
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Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 19, 2021 July 19, 2021

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

FInancial Exploitation of the Elderly