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Fraud

Cetera Advisors Charged With Defrauding Retail Clients
Cetera Advisors Charged With Defrauding Retail Clients 150 150 Rex Securities Law

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

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Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery
Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery 150 150 Rex Securities Law

May 2019 – Dallas, Texas In March 2019, the Securities and Exchange Commission charged Texas based Cardinal Energy Group (CEGX) and former CEO Timothy W. Crawford with fraudulently concealing the…

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Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL
Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL 150 150 Rex Securities Law

February 2019-Tampa, FL The U.S. Securities & Exchange Commission (SEC) issued a litigation release on 2/21/2019 charging Spartan Securities Group, Ltd. , Island Capital Management, LLC, Carl E. Dilley, Micah…

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William Biegel-Former Raymond James Broker- Discloses Settlement of Customer Dispute-Houston, TX
William Biegel-Former Raymond James Broker- Discloses Settlement of Customer Dispute-Houston, TX 150 150 Rex Securities Law

January  2019- Houston, TX According to publicly available records ,   William Herman Biegel (CRD#1301825)  a  stockbroker previously employed by Raymond James & Associates, discloses the recent settlement of a customer dispute.   The…

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Jared Rice, Sr. Indicted on Cryptocurrency Fraud-Fort Worth, Texas
Jared Rice, Sr. Indicted on Cryptocurrency Fraud-Fort Worth, Texas 150 150 Rex Securities Law

November 2018-Fort Worth, Texas The U.S. Attorney’s Office for the Northern District of Texas announced the arrest of Jared Rice, Sr. who is charged with defrauding hundreds of investors out…

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Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA
Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA 150 150 Rex Securities Law

September 2021- Lafayette, LA The FINRA records of  Wesley Kyle Perkins ,  a  former stock broker who is not currently registered and who was last employed by Purshe Kaplan Sterling Investments ,  disclose  that he is…

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How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX
How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX 150 150 Rex Securities Law

October 2018- The SEC has charged Houston based Behavioral Recognition Systems (now known as Giant Gray) and its CEO Ray C. Davis with soliciting over $28 million from investors and…

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Holly Maurer- Corecap Investments Broker-Discloses Settlement of Several Customer Disputes-Southfield, MI
Holly Maurer- Corecap Investments Broker-Discloses Settlement of Several Customer Disputes-Southfield, MI 150 150 Rex Securities Law

October 2017 – Southfield, MI According to publicly available records Holly M. Maurer  (CRD#2764991) , a  stockbroker who is registered with Corecap Investments , disclose 5 prior  customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL
Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL 150 150 Rex Securities Law

March 2019 – Coral Gables, FL According to FINRA records,  Alex Gerardo Herrera,   a former stockbroker who  last worked for USB Financial Services,  discloses 2 prior regulatory events , a current customer dispute…

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