fbpx

Unregistered Securities

Texas Securities Commissioner Enters Cease & Desist vs. SoBell and Andrew Gamber
Texas Securities Commissioner Enters Cease & Desist vs. SoBell and Andrew Gamber 150 150 Rex Securities Law

February 1, 2016- Austin, Texas Texas Securities Commissioner John Morgan ordered Mississippi based SoBell Corp. and its owner, Andrew Gamber of Jonesboro, Arkansas, to stop selling an investment called “Pension…

read more

Kansas Businessman Sentenced to Five Years Probation for Oil Lease Scam
Kansas Businessman Sentenced to Five Years Probation for Oil Lease Scam 150 150 Rex Securities Law

November 24, 2015- Wichita, Kansas The Topeka Capital-Journal reports that Kansas businessman Paul Carageannis, 56, who had previously entered a plea of no contest to one count of felony fraud…

read more

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Rex Securities Law

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

read more

Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering
Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering 150 150 Rex Securities Law

September 3, 2015- Boca Raton/Plantation, Florida The Securities and Exchange Commission announced that Manny J. Shulman and David K. Herschman were charged with violating the securities laws for their involvement…

read more

Willis-Stafford Named in Cease and Desist Order by S. Carolina Securities Commissioner
Willis-Stafford Named in Cease and Desist Order by S. Carolina Securities Commissioner 150 150 Rex Securities Law

July 14, 2015-Columbia, South Carolina The Securities Commissioner of South Carolina entered a Cease and Desist Order against Prospect, Kentucky-based  Willis-Stafford Corporation in connection with a proposed offering of stock for…

read more

Carson Energy / Austin Texas Residents Named In Iowa Oil & Gas Securities Fraud Action
Carson Energy / Austin Texas Residents Named In Iowa Oil & Gas Securities Fraud Action 150 150 Rex Securities Law

August 28, 2015 Iowa Insurance Commissioner Nick Gerhart issued a cease and desist order to the following Austin, Texas residents: Carson Energy, Inc.              …

read more

Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX
Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX 150 150 Rex Securities Law

August 3, 2015-Hoiuston, Texas Frederick Alan Voight of Richmond, Texas, was charged by the Securities and Exchange Commission with defrauding over 300 investors in a $114 million Ponzi scheme. Investors…

read more

Wisconsin Securities Regulators Issue Orders Re: Sale of Unregistered Securities
Wisconsin Securities Regulators Issue Orders Re: Sale of Unregistered Securities 150 150 Rex Securities Law

July 2015 The Wisconsin  Division of Securities registers and monitors the activities of broker-dealers, securities agents, investment advisers, and investment adviser representatives. It also conducts field audits and investigates complaints…

read more

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions
Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions 150 150 Rex Securities Law

July 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com