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Fraud

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist
Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist 150 150 Rex Securities Law

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…

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Texas Securities Regulator Stops Sex Offender’s Fraudulent Real Estate Deal-Dallas, TX
Texas Securities Regulator Stops Sex Offender’s Fraudulent Real Estate Deal-Dallas, TX 150 150 Rex Securities Law

September 2021- White Settlement, Texas  The Texas State Securities Board (TSSB) issued an Emergency Cease and Desist Order against the following Respondents: PB& Associates LLC, a Texas limited liability company…

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Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL
Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Rex Securities Law

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

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Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO
Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO 150 150 ER

August 2021- Greenwood Village, CO According to publicly available records,  Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…

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Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX
Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX 150 150 Rex Securities Law

August 2021 – Houston, Texas According to a press release  from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…

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Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA
Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA 150 150 Rex Securities Law

November 2020- Metairie, LA According to publicly available records, former Commonwealth Financial Network,  financial advisor Benjamin Bourgeois, Jr.   is barred from FINRA and discloses 3 prior customer disputes, a pending…

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Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA
Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA 150 150 Rex Securities Law

November 2020- Baton Rouge, LA According to publicly available records, former LPL Financial   advisor Patrick Coogan,  has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…

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Lynn Cawthorne-Cambridge Investment Research Broker- Charged With Wire Fraud-Shreveport, LA
Lynn Cawthorne-Cambridge Investment Research Broker- Charged With Wire Fraud-Shreveport, LA 150 150 Rex Securities Law

October 2020- Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker who last worked for Cambridge Investment Research  has been…

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Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI
Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI 150 150 Rex Securities Law

October 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc.,   financial advisor Edward Earl Matthes ,  discloses 5 regulatory events, a civil event, 15 prior…

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