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Unregistered Brokers

North Carolina Securities Regulators Latest Enforcement News September 2022

North Carolina Securities Regulators Latest Enforcement News September 2022 150 150 Rex Securities Law

Securities Enforcement Actions  Securities Division- North Carolina Secretary of State   Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…

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Oscar “Buddy”Jackson III- Former BFT Financial Adviser-Discloses Customer Suit & Termination of Employment- Wichita Falls, TX

Oscar “Buddy”Jackson III- Former BFT Financial Adviser-Discloses Customer Suit & Termination of Employment- Wichita Falls, TX 150 150 Rex Securities Law

Oscar Jackson III Investigation April  2022 – Wichita Falls, Texas According to publicly obtained records, Oscar “Buddy” Jackson III, a former registered investment adviser,  who was last employed by Leo Wealth LLC,  disclose a prior…

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Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist 150 150 Rex Securities Law

September 2021- Austin, TX  Texas Securities Commissioner  Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

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James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Rex Securities Law

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

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Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX

Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX 150 150 Rex Securities Law

September 2019 -Fort Worth, Texas The Texas State Securities Board (TSSB) announced that unregistered investment promoter Jeremy “JB” Yowell is cooperating with the Enforcement Division of the State Securities Board…

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Bill Fenwick-First Kentucky Securities Corp. – Discloses Customer Disputes-Louisville, KY

Bill Fenwick-First Kentucky Securities Corp. – Discloses Customer Disputes-Louisville, KY 150 150 Rex Securities Law

April 2018-Louisville, KY The FINRA records of  William C. (Billy)  Fenwick Jr.  ,  Senior VP and Board member of  First Kentucky Securities Corporation disclose two pending customer disputes and a prior final customer dispute.…

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Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX

Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX 150 150 Rex Securities Law

April 2018-Shreveport, LA Shreveport resident Gregory Alan Smith, 55, and Kirbyjon H. Caldwell, 64, of Houston, TX, were indicted by a federal grand jury in a 13 count indictment for…

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Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order

Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order 150 150 Rex Securities Law

February 2018-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist Order against Jason A. Gilbert and Parker R. Hallam who are doing business through SourceRock…

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Harry Datys-Westpark Capital Stockbroker-Discloses Regulatory Issues and Customer Complaints- Boca Raton, FL

Harry Datys-Westpark Capital Stockbroker-Discloses Regulatory Issues and Customer Complaints- Boca Raton, FL 150 150 Rex Securities Law

March 2019- Warwick, New York/Boca Raton, FL The FINRA records of  Harry Seth Datys,  a  stockbroker who is currently employed by Westpark Capital , disclose three regulatory events, 3 pending customer disputes, 13 prior…

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