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Eric Johnson Investigation Update-Former Redridge Securities Stock Broker

Eric Johnson Investigation Update-Former Redridge Securities Stock Broker 150 150 Rex Securities Law

April 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…

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Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire Fraud

Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire Fraud 150 150 Rex Securities Law

April 1, 2016 Candace B. McLeod, 32, of Holt, FL, was sentenced to 75 months in Federal prison according to a release from the US Department of Justice.  McLeod had…

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Eleven East Texans Charged in Northeast Texas Opportunities Fraud Conspiracy

Eleven East Texans Charged in Northeast Texas Opportunities Fraud Conspiracy 150 150 Rex Securities Law

March 2, 2016-Texarkana, Texas The US Attorney’s Office announced the indictment of eleven individuals on federal charges including conspiracy to commit an offense and to defraud the U.S. government. The…

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Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi

Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi 150 150 Rex Securities Law

September 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…

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Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week

Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week 150 150 Rex Securities Law

February 24, 2016- Cleveland, Ohio A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered former Summit Brokerage Services stockbroker Larry Werbel , who operated Evolution Partners Wealth Management of Chagrin Falls,…

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Colleyville, Texas Resident Sentenced to 15 Years for Wind Farm Scam

Colleyville, Texas Resident Sentenced to 15 Years for Wind Farm Scam 150 150 Rex Securities Law

March 15, 2016-Dallas, Texas The Department of Justice announced that Colleyville, Texas, resident David L. Spaulding, 62, has been sentenced to 15 years in federal prison and ordered to pay…

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Naples Florida Man Sentenced to 6 1/2 Years for Investment Fraud

Naples Florida Man Sentenced to 6 1/2 Years for Investment Fraud 150 150 Rex Securities Law

March 14, 2016- Fort Myers, Florida The Department of Justice announced today that Dorian Garcia, age 31, was sentenced to 6 and one half years in federal prison for a…

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GL Capital Partners Former CEO Daniel Thibeault Pleads Guilty to Fraud Charges

GL Capital Partners Former CEO Daniel Thibeault Pleads Guilty to Fraud Charges 150 150 Rex Securities Law

March 14, 2016 The Investment News reports that Daniel Thibeault pleaded guilty to criminal charges that he defrauded fund investors of GL Capital Partners out of $15 million by leading…

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Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud 150 150 Rex Securities Law

March 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…

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