Theft Archives

ER
April 26, 2023
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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 26, 2023 April 26, 2023

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors, discloses a final regulatory matter resulting in a…

Rex Securities Law
April 13, 2023
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Financial Adviser Christopher Burns Indicted For Fraud Scheme- Berkeley Lake , GA

Financial Adviser Christopher Burns Indicted For Fraud Scheme- Berkeley Lake , GA 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 13, 2023 April 13, 2023

Christopher Burns Charged With Stealing Millions April 2023– Berkeley Lake, GA According to a press release issued by the U S Attorney’s office for Northern District of Georgia, “He betrayed…

Rex Securities Law
March 27, 2023
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John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA 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 March 27, 2023 March 27, 2023

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…

ER
March 5, 2023
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Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas

Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 5, 2023 May 3, 2023

Robert Turner Investigation March 2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr. , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 7…

ER
February 28, 2023
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Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX

Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 28, 2023 February 28, 2023

Ernest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch, discloses a final regulatory matter resulting in a permanent…

ER
February 27, 2023
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Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX

Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Doug McKelvey Investigation February 2023-Southlake, TX According to publicly available records Doug McKelvey,a former broker who last worked for Morgan Stanley, discloses a final regulatory matter resulting in a permanent bar…

ER
February 27, 2023
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Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX

Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Howell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a $58K customer dispute. The Financial Industry…

Rex Securities Law
October 6, 2022
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LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 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 October 6, 2022 October 6, 2022

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

Rex Securities Law
October 3, 2022
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Anthony Manougian- Oppenheimer Broker- Facing $3.5M Customer Suit- Melville, NY

Anthony Manougian- Oppenheimer Broker- Facing $3.5M Customer Suit- Melville, 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 October 3, 2022 October 3, 2022

Anthony Manougian Investigation October, 2022 – Melville, NY The FINRA records of Anthony Joseph Manougian, an Oppenheimer & Co. broker, disclose a pending suit by a former customer seeking damages of $3.5 million.…