Ohio Division of Securities Archives

Rex Securities Law
July 8, 2015
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 8, 2015 April 14, 2016

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…

Rex Securities Law
December 23, 2014
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Jason Cox, Edward Jones Broker, Charged with Theft From Disabled Lady

Jason Cox, Edward Jones Broker, Charged with Theft From Disabled Lady https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 23, 2014 November 1, 2016

December 23, 2014- Columbus Ohio The Columbus Dispatch reports that Jason W. Cox, 39, has been charged in a federal criminal complaint for making $160,000 in withdrawals from the account…

Rex Securities Law
December 3, 2014
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Dennis Flood of Brunswick Ohio Indicted by Cuyahoga Grand Jury

Dennis Flood of Brunswick Ohio Indicted by Cuyahoga Grand Jury https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 3, 2014 August 27, 2015

December 2, 2014-Cleveland, Ohio UPDATE AUGUST 27, 2015-Dennis Flood sentenced to eight years. WKYC, Channel 3, reports that Dennis Flood, 64, of Brunswick has been indicted by a Cuyahoga County…

Rex Securities Law
December 3, 2014
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Ohio Talk Show Host Robert Mcmanus Pleads Guilty to Securities Fraud

Ohio Talk Show Host Robert Mcmanus Pleads Guilty to Securities Fraud https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 3, 2014 December 3, 2014

December 2, 2014- West Chester, Ohio WCPO Channel 9, Cincinnati reports that former 700WLW radio talk show host of “Safe Money America”, Robert Mcmanus, pleaded guilty to one count of…

Rex Securities Law
November 24, 2014
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Ohio Securities Regulators Warn Investors to Be Wary of Church Related Investment Scams

Ohio Securities Regulators Warn Investors to Be Wary of Church Related Investment Scams https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 24, 2014 February 22, 2015

The Division of Securities of the Ohio Department of Commerce has published an alert for investors – Affinity Fraud: Preying on the Faithful can be accessed here. Affinity fraud “refers to…

Rex Securities Law
September 1, 2014
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SEC Issues Investor Bulletin:How to Check Out Your Financial Professional

SEC Issues Investor Bulletin:How to Check Out Your Financial Professional https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 1, 2014 October 18, 2014

The Securities & Exchange Commission’s (SEC) Office of Investor Education and Advocacy issues alerts and bulletins from time to time designed to offer resources to address problems investors may face. Here…

Robert H. Rex
June 18, 2013
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Ohio Securities Regulators Suspend Eric M. Douglas

Ohio Securities Regulators Suspend Eric M. Douglas https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert H. Rex Robert H. Rex https://secure.gravatar.com/avatar/63d95f80eb91915bb42dfbaade95e4ca?s=96&d=mm&r=g June 18, 2013 February 16, 2015

On April 29th, 2013, the Ohio Division of Securities entered a final order suspending the Investment Representative and Securities Salesperson License of Eric M. Douglas. The suspension is for 90…

Rex Securities Law
August 21, 2012
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Former Sandru/LPL/Cambridge Brokers Face Suspension

Former Sandru/LPL/Cambridge Brokers Face Suspension https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 21, 2012 January 19, 2015

In April 2012, the Ohio Division of Securities filed Notices of Intent to suspend or revoke the licenses of two investment advisers/stockbrokers who practiced in the Toledo/Perrysburg area. Eric M.…