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AXA Advisors

SEC Charges Dennis F. Wright, Former AXA Broker, With Theft of Customer Funds

SEC Charges Dennis F. Wright, Former AXA Broker, With Theft of Customer Funds 150 150 Rex Securities Law

September 30, 2014-Lewistown, Pennsylvania The U.S. Securities & Exchange Commission (SEC) announced that charges were filed against Dennis F. Wright, who was registered with AXA Advisors from 11/1983-6/2012, for defrauding…

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William C. Mays Sentenced to 20 Years for Securities Fraud and Theft

William C. Mays Sentenced to 20 Years for Securities Fraud and Theft 150 150 Rex Securities Law

William Charlton Mays, IV, a former investment adviser in Corpus Christi, Texas, was convicted of securities fraud and theft and sentenced to 20 years in state prison, according to a…

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Independent Broker Dealer Rankings Announced by Investment News

Independent Broker Dealer Rankings Announced by Investment News 150 150 Robert H. Rex

The Investment News recently announced the rankings of independent broker-dealers for 2013 BrokerDealer                   Gross Revenue  1            LPL Financial LLC      …

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Investment News Announces Most Profitable Independent Broker Dealers

Investment News Announces Most Profitable Independent Broker Dealers 150 150 Rex Securities Law

By Robert H. Rex The Investment News recently (March 2014) announced the most profitable independent broker-dealers, ranked by Pre-Tax Earnings. See this for complete list.  Independent Broker Dealer PreTax Earnings 1…

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Investment News Announces Most Profitable Independent Broker Dealers

Investment News Announces Most Profitable Independent Broker Dealers 150 150 Rex Securities Law

By Robert H. Rex The Investment News recently (March 2014) announced the most profitable independent broker-dealers, ranked by Pre-Tax Earnings. See this for complete list.  Independent Broker Dealer PreTax Earnings 1…

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Anderson Scott Hall Pleads Guilty to Ponzi Scheme

Anderson Scott Hall Pleads Guilty to Ponzi Scheme 150 150 Rex Securities Law

Anderson Scott Hall of Jacksonville, FL , pleaded guilty (12/27/2013)  to four felony counts of operating a sham investment scheme and faces a maximum of 20 years imprisonment for each…

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Corpus Christi Broker William C. Mays Indicted for Securities Fraud

Corpus Christi Broker William C. Mays Indicted for Securities Fraud 150 150 Rex Securities Law

In September 2013,  a grand jury in Nueces County, Texas, indicted William Charlton Mays, a former investment adviser in Corpus Christi, Texas, on charges of securities fraud, money laundering, theft…

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FINRA Announces November 2012 Disciplinary Actions

FINRA Announces November 2012 Disciplinary Actions 150 150 Rex Securities Law

  The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. Here are significant Florida related actions for November…

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