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FInancial Exploitation of the Elderly

Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months
Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months 150 150 Rex Securities Law

Staunton, Virginia Kirsten Flynn Hawkins, 45, pled guilty to wire fraud in January 2015, and in May 2015, was sentenced to 41 months in prison and ordered to pay restitution…

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Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s
Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 150 150 Rex Securities Law

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…

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Losses on Cushing Royalty & Income Fund ??
Losses on Cushing Royalty & Income Fund ?? 150 150 Rex Securities Law

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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North Carolina Securities Regulators Pursuing Securities Fraudsters
North Carolina Securities Regulators Pursuing Securities Fraudsters 150 150 Rex Securities Law

June 2015 In the June 2015 Newsletter the North Carolina Securities Division announced their involvement in the following cases: Darren Joseph Capote, of Patterson, NY, was indicted on July 11,…

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North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters
North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters 150 150 Rex Securities Law

June 2015-NC Securities Division The North Carolina Securities Division‘s June 2015 Newsletter announced the sentencing of the following individuals for securities related violations: Michael Anthony Jenkins pleaded guilty to three…

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Investment Fraud Workshop Set for June 15, Salina Public Library
Investment Fraud Workshop Set for June 15, Salina Public Library 150 150 Rex Securities Law

A free workshop  discussing the tactics and schemes of fraudsters and scammers will be held on June 15, 2015, from 12:45-1:45pm at the Salina Public Library in the Prescott Meeting…

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Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments
Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments 150 150 Rex Securities Law

April 9, 2015-Point Pleasant, NJ Douglas William Finlay, Jr.  , entered into a  Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that effected…

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Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law
Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law 150 150 Rex Securities Law

June 1, 2015-San Miguel de Allende, Mexico  Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…

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Workshop To Be Held in Bowling Green, KY, April 30, to Educate Seniors on Financial Fraud
Workshop To Be Held in Bowling Green, KY, April 30, to Educate Seniors on Financial Fraud 150 150 Rex Securities Law

April 22, 2015-Bowling Green Kentucky The Kentucky Department of Financial Institutions is holding a workshop on April 30, 2015, at Knicely Conference Center, Western Kentucky University to educate seniors on…

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