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Misrepresentation

Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity
Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity 150 150 Rex Securities Law

June 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay  a customer over $1.2 million on claims of negligence, unsuitability, breach…

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Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme
Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme 150 150 Rex Securities Law

June 17, 2015-Palm Beach County Florida Jeffrey Schuler, 54, of Boynton Beach, Florida pled guilty to one count of wire fraud, in connection with the operation of Fort Lauderdale based…

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Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts
Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 150 150 Rex Securities Law

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

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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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Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities
Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities 150 150 Rex Securities Law

May 15, 2015-Houston, Texas A FINRA (Financial Industry Regulatory Authority) arbitration panel in Houston, Texas, awarded over $1.1 million to a couple who filed a claim alleging that the annuities…

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Financial Services Firm CEO Sentenced to 10 Years Prison for Securities Fraud
Financial Services Firm CEO Sentenced to 10 Years Prison for Securities Fraud 150 150 Rex Securities Law

June 4, 2015 Everett C. Miller, 45, of Marlton, New Jersey was sentenced to 120 months in prison after pleading guilty before U.S. District Judge Renee Marie Bumb to one…

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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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Phil Williamson Charged in South Florida Securities Fraud
Phil Williamson Charged in South Florida Securities Fraud 150 150 Rex Securities Law

June 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…

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