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Ohio Division of Securities

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…

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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 150 150 Rex Securities Law

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…

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Dennis Flood of Brunswick Ohio Indicted by Cuyahoga Grand Jury

Dennis Flood of Brunswick Ohio Indicted by Cuyahoga Grand Jury 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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Ohio Securities Regulators Suspend Eric M. Douglas

Ohio Securities Regulators Suspend Eric M. Douglas 150 150 Robert H. Rex

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…

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Former Sandru/LPL/Cambridge Brokers Face Suspension

Former Sandru/LPL/Cambridge Brokers Face Suspension 150 150 Rex Securities Law

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.…

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