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Rex Securities Law
March 23, 2015
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Matthew Roger Quinn-Fifth Third Securities Broker Barred from Industry by Regulator

Matthew Roger Quinn-Fifth Third Securities Broker Barred from Industry by Regulator 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 23, 2015 April 28, 2016

March 20, 2015-Cincinnati, OH Matthew Roger Quinn entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide on-the-record…

Rex Securities Law
March 21, 2015
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Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens 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 21, 2015 April 28, 2016

March 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…

Rex Securities Law
March 20, 2015
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H.D. Vest Sanctioned by SEC For Failing to Supervise Broker

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker 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 20, 2015 April 28, 2016

March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc. failed to supervise Michigan broker Lewis J.…

Rex Securities Law
March 4, 2015
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Allan Roth of Tampa Arrested in Penny Stock Scam

Allan Roth of Tampa Arrested in Penny Stock Scam 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 4, 2015 August 5, 2016

February 27, 2015-Tampa, Florida The Florida Office of Financial Regulation (OFR) reports that Allan Roth, 57, was arrested on 34 charges of selling unregistered securities and 34 counts of selling securities…

Rex Securities Law
March 4, 2015
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Tarpon Springs Florida Man Arrested for Securities Fraud

Tarpon Springs Florida Man Arrested for Securities Fraud 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 4, 2015 April 28, 2016

March 3, 2015- Tallahassee, Florida The Florida Office of Financial Regulation (OFR) announced that John Edward Simpson was arrested in Tarpon Springs, Florida, and has been charged with securities fraud,…

Rex Securities Law
February 25, 2015
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Former J.P. Morgan Securities Broker Barred from Securities Industry

Former J.P. Morgan Securities Broker Barred from Securities Industry 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 February 25, 2015 May 5, 2016

February 23, 2015 Alen Alic entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in September 2014, while working as a teller…

Rex Securities Law
February 20, 2015
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Plano Texas Man Convicted in Fictional Disney Scam

Plano Texas Man Convicted in Fictional Disney Scam 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 February 20, 2015 May 5, 2016

February 20, 2015-Sherman, Texas The FBI , Dallas Division, announced that Thomas W. Lucas, Jr. , 35, of Plano, Texas, has been found guilty of federal wire fraud violations as…

Rex Securities Law
February 18, 2015
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Dante S. Giovannetti Of Orlando, FL, Indicted on Investment Fraud

Dante S. Giovannetti Of Orlando, FL, Indicted on Investment Fraud 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 February 18, 2015 May 5, 2016

February 18, 2015-Orlando, Florida According to the Tampa Division of the Federal Bureau of Investigation (FBI), Dante S. Giovannetti, age 50, has been indicted and charged with five counts of…

Rex Securities Law
February 18, 2015
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Lincoln Nebraska Couple Pleads Guilty to Investment Scam

Lincoln Nebraska Couple Pleads Guilty to Investment Scam 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 February 18, 2015 May 5, 2016

February 18, 2015- Lincoln, Nebraska The JournalStar.com reports that Scott and Robin Usher of Lincoln have admitted duping investors out of about $750,000 in a scheme involving phony inventions and…