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Department of Justice

Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX

Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX 150 150 Rex Securities Law

August 2021 – Houston, Texas According to a press release  from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…

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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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Stacey Sanders Sentenced to Federal Prison on Bank Fraud Charge-Fredericksburg, TX

Stacey Sanders Sentenced to Federal Prison on Bank Fraud Charge-Fredericksburg, TX 150 150 Rex Securities Law

February 2019-Fredericksburg, TX A federal judge in San Antonio has sentenced 52-year-old Stacey A. Sanders of Fredericksburg, TX,  to 27 months imprisonment.  The former office manager of Memorial Presbyterian Church,…

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Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas

Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas 150 150 Rex Securities Law

April 2019- Llano, Texas The US Attorney’s Office for the Western District of Texas announced that 45 year old Kelley Ranae Jones was sentenced to three years in federal prison…

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Jared Rice, Sr. Indicted on Cryptocurrency Fraud-Fort Worth, Texas

Jared Rice, Sr. Indicted on Cryptocurrency Fraud-Fort Worth, Texas 150 150 Rex Securities Law

November 2018-Fort Worth, Texas The U.S. Attorney’s Office for the Northern District of Texas announced the arrest of Jared Rice, Sr. who is charged with defrauding hundreds of investors out…

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Dallas Area Couple Indicted for Embezzling $14.5 Million From Retirement Accounts

Dallas Area Couple Indicted for Embezzling $14.5 Million From Retirement Accounts 150 150 Rex Securities Law

October 2018-Red Oak, Texas Jeffrey Richie, 53, and his wife Wendy Richie, 58, of Red Oak, TX, (a suburb south of Dallas) were indicted for conspiracy, theft from an employee…

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Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY 150 150 Rex Securities Law

May 2018-New City, New York Local press is reporting that Rockland/Orange County businessman and former Securities America stockbroker Hector May is being investigated by federal prosecutors on allegations of stealing…

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Heidi Wivolin-Former NEXT Financial Group Broker Sentenced to Two Years/ Shawn O’Sullivan Sentenced to 16 Months-Ft. Lauderdale, FL

Heidi Wivolin-Former NEXT Financial Group Broker Sentenced to Two Years/ Shawn O’Sullivan Sentenced to 16 Months-Ft. Lauderdale, FL 150 150 Rex Securities Law

June 20, 2018 UPDATE–Shawn O’Sullivan was sentenced to 16 months in prison followed by 3 years supervised release for his role in the theft which took place in the Manalapan…

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