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Stockbroker Malpractice

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL
Brian Berger Facing Wire Fraud Charges-Coral Springs, FL 150 150 Rex Securities Law

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

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The Villages Is Subject of Study on Elder Financial Fraud
The Villages Is Subject of Study on Elder Financial Fraud 150 150 Rex Securities Law

November 9, 2015- The Villages, Florida Florida State University College of Criminology and Criminal Justice in partnership with Merrill Lynch & Seniors vs. Crime is conducting research on elder financial…

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Tampa Man Pleads Guilty In Facebook Pre-IPO Scam
Tampa Man Pleads Guilty In Facebook Pre-IPO Scam 150 150 Rex Securities Law

August 13, 2015-Tampa, Florida The FBI announced that Gignesh Movalia, 40, of Tampa, pleaded guilty to one could of investment advisor fraud in connection with his operation of the OM…

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South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015
South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015 150 150 Rex Securities Law

August 10, 2015-Darlington, South Carolina The South Carolina Office of the Attorney General, Securities Division is hosting a public investor education seminar at noon, Wednesday, August 19th, 2015. Topics to…

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Former PRUCO Securities Broker Christopher Yoon Barred by FINRA
Former PRUCO Securities Broker Christopher Yoon Barred by FINRA 150 150 Rex Securities Law

July 14, 2015 Christopher Yoon  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: lied to a life insurance…

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Former Wunderlich Securities Broker Sanctioned By Regulators-Plano
Former Wunderlich Securities Broker Sanctioned By Regulators-Plano 150 150 Rex Securities Law

July 10, 2015-Dallas, TX Joseph C. Schroeder entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: violated NASD Rule…

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John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client
John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client 150 150 Rex Securities Law

July 13, 2015-Scottsdale, AZ John Anthony Waszolek  entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…

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North Carolina Securities Division July 2015 Newsletter
North Carolina Securities Division July 2015 Newsletter 150 150 Rex Securities Law

July  2015- Raleigh, North Carolina The North Carolina Securities Division of the Department of the Secretary of State issues a monthly newsletter highlighting recent enforcement actions for securities violations and other…

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Wisconsin Securities Regulators Issue Orders Re: Sale of Unregistered Securities
Wisconsin Securities Regulators Issue Orders Re: Sale of Unregistered Securities 150 150 Rex Securities Law

July 2015 The Wisconsin  Division of Securities registers and monitors the activities of broker-dealers, securities agents, investment advisers, and investment adviser representatives. It also conducts field audits and investigates complaints…

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