Fraud Archives - Page 6 of 33 - Rex Securities Law-BLOG

Rex Securities Law
August 19, 2018
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Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon

Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon 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 19, 2018 August 19, 2018

August 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon, against American Independent Securities Group…

Rex Securities Law
August 17, 2018
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Dwaine Caraway Pleads Guilty to Federal Corruption Charges-Resigns From Council-Dallas, TX

Dwaine Caraway Pleads Guilty to Federal Corruption Charges-Resigns From Council-Dallas, 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 August 17, 2018 August 17, 2018

August 2018-Dallas, Texas The Dallas Morning News reports that Dallas Mayor Pro Tem Dwaine Caraway has pleaded guilty to federal corruption charges filed in Dallas federal court last week. Caraway,…

Rex Securities Law
August 13, 2018
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John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI

John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI 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 13, 2018 August 13, 2018

August 2018-Birmingham, Michigan The FINRA records of John C. Maccoll, a stock broker who was last employed by UBS Financial Services , disclose that he was recently discharged by UBS after failing to cooperate…

Rex Securities Law
July 24, 2018
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James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA 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 24, 2018 July 24, 2018

July 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…

Rex Securities Law
May 30, 2018
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Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island 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 May 30, 2018 November 12, 2019

November 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…

Rex Securities Law
May 17, 2018
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Daniel H. Morris-Former Oppenheimer Broker-Discloses Customer Suit-Westport, CT

Daniel H. Morris-Former Oppenheimer Broker-Discloses Customer Suit-Westport, CT 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 May 17, 2018 January 9, 2020

January 2020-Westport, CT The FINRA records of Daniel H. Morris, a stockbroker who was formerly employed by Oppenheimer and Co. disclose prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

Rex Securities Law
May 14, 2018
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Gregory T. Dean-Former Worden Capital Mgmt. Broker-Barred for Churning Customer Accounts-Garden City, NY

Gregory T. Dean-Former Worden Capital Mgmt. Broker-Barred for Churning Customer Accounts-Garden City, 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 May 14, 2018 December 23, 2019

August 2019-Garden City, NY The FINRA records of Gregory T. Dean , a former broker who was last employed by Worden Capital Management LLC disclose 3 prior regulatory matters, a prior civil matter,…

Rex Securities Law
May 3, 2018
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Two S. Floridians Indicted on Valentine Beauty Pump and Dump Stock Scheme-Miami, FL

Two S. Floridians Indicted on Valentine Beauty Pump and Dump Stock Scheme-Miami, 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 May 3, 2018 May 3, 2018

May 2018-Miami, Florida The US Attorneys Office for the Southern District of Florida announced that two Florida stock promoters have been charged with a $1 million pump and dump securities…

Rex Securities Law
April 10, 2018
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Clifton Stanley, Michael Watts, The Lifepay Group- Targeted in SEC Fraud Suit-Houston, TX

Clifton Stanley, Michael Watts, The Lifepay Group- Targeted in SEC Fraud Suit-Houston, 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 April 10, 2018 April 10, 2018

April 2018-Houston, Texas The Securities and Exchange Commission (SEC) charged the following individuals and their companies with operating a $2.4 million Ponzi scheme targeting elderly retirees: Clifton E. Stanley of…