Theft Archives - Page 5 of 26 - Rex Securities Law-BLOG

Rex Securities Law
February 17, 2020
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Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA

Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, 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 February 17, 2020 February 17, 2020

February 2020- Milledgeville, GA The FINRA records of Dean Harrison Grant , a former stock broker who last worked for M Holdings Securities, Inc. , disclose a regulatory event resulting in a bar from the securities…

Rex Securities Law
February 7, 2020
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Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL 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 7, 2020 February 7, 2020

February 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya , a former stock broker who last worked for Kovack Securities, Inc. , disclose a regulatory event resulting in a bar from the…

Rex Securities Law
February 7, 2020
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Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ 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 7, 2020 February 7, 2020

February 2020-Jersey City, NJ According to publicly available records of Ramon Arturo Herrera (CRD#6021170) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses 2 regulatory events and…

Rex Securities Law
January 14, 2020
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Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA

Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA 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 January 14, 2020 January 14, 2020

January 2020- Fresno, CA The FINRA records of Kendall J. Groom , a broker previously employed by Independent Financial Group , disclose a regulatory event resulting in his bar from the securities industry. The Financial Industry…

Rex Securities Law
January 2, 2020
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John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA

John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA 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 January 2, 2020 January 2, 2020

January 2020 – Northridge, CA According to publicly available records John Luis Torres (CRD#6322231) , a former stockbroker discloses a regulatory event resulting in his bar from the industry , 2 pending…

Rex Securities Law
November 25, 2019
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Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings

Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings 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 November 25, 2019 November 25, 2019

November 2019- Ft. Lauderdale, FL According to a recent press release from the United States Attorney’s Office for the Southern District of Florida, Michael Jerome Atkins, 60, was arraigned on…

Rex Securities Law
November 11, 2019
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Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD

Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD 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 November 11, 2019 November 11, 2019

November 2019 – Frederick, MD The FINRA records of Bradley Mascho , a currently unregistered stockbroker who was last employed by Western International Securities, discloses 2 regulatory events , a criminal event, a civil event,…

Rex Securities Law
November 11, 2019
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Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, 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 November 11, 2019 November 11, 2019

November 2019- New York, NY The FINRA records of Herbert “Elias” Hafen , a financial advisor previously employed by Morgan Stanley, disclose a prior regulatory event, a pending criminal matter, a…

Rex Securities Law
September 21, 2019
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Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, 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 September 21, 2019 September 21, 2019

September 2019- Williamsville, NY According to publicly available records Michael Giokas (CRD# 1398674) , a former stockbroker who was last employed by Fortune Financial Services, Inc., disclose 2 prior regulatory events, a…