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Unregistered Securities

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 150 150 Rex Securities Law

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…

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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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Texas Securities Regulators Require Metals.Com to Refund $10M

Texas Securities Regulators Require Metals.Com to Refund $10M 150 150 Rex Securities Law

July 2019-Austin, Texas The Texas State Securities Board (TSSB) issued a news release announcing that Metals.Com, has agreed to offer a full refund to some 84 Texas investors. According to…

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Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL 150 150 Rex Securities Law

May 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor  ,  a  former stockbroker who last worked for Raymond James Financial  ,  disclose a recent regulatory event…

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LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX

LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX 150 150 Rex Securities Law

April 2019- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to…

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Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA 150 150 Rex Securities Law

December 2018-Pacific Grove, CA According to publicly available records    Jon R. Pariser , a  former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services,  disclose…

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David Ferwerda-Former Signator Investors Broker-Sanctioned Over Woodbridge Mortgage Fund Sales-Grand Rapids, MI

David Ferwerda-Former Signator Investors Broker-Sanctioned Over Woodbridge Mortgage Fund Sales-Grand Rapids, MI 150 150 Rex Securities Law

March 2019- Grand Rapids, MI The FINRA records of  David Carl Ferwerda ,  a  former stock broker who is not currently registered and who was last employed by Signator Investors ,  disclose  a regulatory bar from the…

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LPL Financial to Pay $26M to Resolve Regulatory Investigation

LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Rex Securities Law

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

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