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Unregistered Securities

Aegis Capital Corp. Named In FINRA Action Alleging Sale of Unregistered Securities
Aegis Capital Corp. Named In FINRA Action Alleging Sale of Unregistered Securities 150 150 Rex Securities Law

In August 2014 the Financial Industry Regulatory Authority (FINRA), Department of Enforcement filed a complaint against Aegis Capital Corp. and two Aegis brokers who served as Chief Compliance Officer: Charles…

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Maine Office of Securities Issue Cease & Desist vs. IntelliCloud Holdings and Promoters
Maine Office of Securities Issue Cease & Desist vs. IntelliCloud Holdings and Promoters 150 150 Rex Securities Law

In September 2014, the State of Maine, Office of Securities, issued a cease and desist order against IntelliCloud Holdings (IHI) a Newport Beach, California company, Tech Financial Group (TFG) of…

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FBI (Florida) Indicts Three–Assured Capital Consultants Ponzi Scheme
FBI (Florida) Indicts Three–Assured Capital Consultants Ponzi Scheme 150 150 Rex Securities Law

September 16, 2014- Ocala, Florida The Federal Bureau of Investigation (FBI) announced the unsealing of an indictment of three people in conncetion with a $10 million dollar fraud in a…

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James McConathy of Lipan Texas Sentenced for Fraudulent Oil & Gas Scheme
James McConathy of Lipan Texas Sentenced for Fraudulent Oil & Gas Scheme 150 150 Rex Securities Law

James M. McConathy of Lipan, Texas, who pleaded guilty in May 2014 to money laundering from an oil and gas scheme was sentenced 60 months in federal prison and ordered…

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Former Pastor at Calvary Chapel Flagler Beach Arrested on Securities Fraud
Former Pastor at Calvary Chapel Flagler Beach Arrested on Securities Fraud 150 150 Rex Securities Law

Tallahassee, Florida- The Florida Office of Financial Regulation announced the arrest of Wesley Alan Brown in Calabash, North Carolina on July 14, 2014, in connection with his role in a…

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Wunderlich Securities Censured and Fined by FINRA
Wunderlich Securities Censured and Fined by FINRA 150 150 Rex Securities Law

Wunderlich Securities, headquartered in Memphis, TN, and broker Stephen Joseph Bonnema of Collierville, TN, recently submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority (FINRA).…

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SII Investments Broker David Thomas Sanctioned by Securities Regulators
SII Investments Broker David Thomas Sanctioned by Securities Regulators 150 150 Robert H. Rex

  David Patrick Thomas, a resident of Washington state was recently sanctioned by securities regulators in Washington in connection with the sale of LLC membership interests issued by Chadbourne Partners,…

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Texas Residents Charged by SEC for Sale of Fraudulent Oil & Gas Investments
Texas Residents Charged by SEC for Sale of Fraudulent Oil & Gas Investments 150 150 Rex Securities Law

  On March 28, 2014, The Securities & Exchange Commission (SEC) charged Jason A. Halek of Southlake, TX, and Patrick J. Booths of Forth Worth with securities fraud in a…

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Carlo Corzine of Dawson James Securities Suspended by FINRA for 30 Days
Carlo Corzine of Dawson James Securities Suspended by FINRA for 30 Days 150 150 Robert H. Rex

UPDATE March 2016-Carlo Corzine discloses customer dispute related to sale of Tactical Air Defense, see this for more. December 2013-Carlo Wayne Corzine  of Boca Raton, FL, was suspended by FINRA…

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