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Market Manipulation

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ 150 150 Rex Securities Law

September 2019- Chatham, NJ According to publicly available records  Michael Bressman ,  a  currently unregistered stockbroker, who was last registered with FCG Advisors,  discloses a pending investigation, a pending civil event,…

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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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SEC Warns Investors– Beware of Fake News

SEC Warns Investors– Beware of Fake News 150 150 Rex Securities Law

April 2017- Washington, DC The U. S. Securities and Exchange Commission issued an Investor Alert warning that articles on an investment research website appearing to be an unbiased source of…

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Lek Securities Named in Market Manipulation Regulatory Action

Lek Securities Named in Market Manipulation Regulatory Action 150 150 Rex Securities Law

UPDATE JUNE 2017-FINRA records disclose that Lek Securities has 20 currently pending regulatory events and 7 prior regulatory events. March 27, 2017 Lek Securities and its CEO Samuel F. Lek…

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Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL

Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL 150 150 Rex Securities Law

February 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) ,  a  former stockbroker who was last employed by  BAC Florida Investments,  disclose  a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…

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Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX

Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX 150 150 Rex Securities Law

UPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…

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Texas REIT United Development Funding IV Receives Grand Jury Subpoena Following FBI Raid

Texas REIT United Development Funding IV Receives Grand Jury Subpoena Following FBI Raid 150 150 Rex Securities Law

February 22, 2016- Grapevine, Texas United Development Funding IV (UDF IV)  reports that they have been subpoenaed to turn over company documents to a grand jury.  In an SEC filing…

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Texas Attorney and Texas Stock Promoter Sentenced in Connect-A-Jet Stock Fraud Conspiracy

Texas Attorney and Texas Stock Promoter Sentenced in Connect-A-Jet Stock Fraud Conspiracy 150 150 Rex Securities Law

December 15, 2015- Dallas, Texas The FBI reports that Martin Cantu, 59, of San Antonio, TX, was sentenced to 35 months in federal prison and ordered to surrender his law license…

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SEC Charges B.J. Gallison and 33 Others -From Costa Rica to California–in Penny Stock Scheme

SEC Charges B.J. Gallison and 33 Others -From Costa Rica to California–in Penny Stock Scheme 150 150 Rex Securities Law

July 14, 2015-Washington DC The Securities and Exchange Commission (SEC) charged 15 individuals and 19 companies in a penny stock pump and dump scheme. The SEC complaint alleges that Moneyline…

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