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Securities & Exchange Commission (SEC)

Clifton Stanley, Michael Watts, The Lifepay Group- Targeted in SEC Fraud Suit-Houston, TX
Clifton Stanley, Michael Watts, The Lifepay Group- Targeted in SEC Fraud Suit-Houston, TX 150 150 Rex Securities Law

April 2018-Houston, Texas The Securities and Exchange Commission (SEC) charged the following individuals and their companies with operating a $2.4 million Ponzi scheme targeting elderly retirees: Clifton E. Stanley of…

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Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, NJ
Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, NJ 150 150 Rex Securities Law

Updated November  2018-Sparta, New Jersey The FINRA records of Raymond J. PIrrello, Jr. , a stockbroker who was last employed by Garden State Securities, disclose 2 final regulatory events , 1…

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Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY
Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY 150 150 Rex Securities Law

UPDATE FEBRUARY 2018-The SEC barred Daniel T. Fischer indefinitely from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. ORIGINAL POST-January 2018-Melville, New…

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SEC Files Action vs. FL and TN Oil and Gas Deal Scammers
SEC Files Action vs. FL and TN Oil and Gas Deal Scammers 150 150 Rex Securities Law

August 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…

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Former Alexander Capital Brokers-Billy Gennity and Rocco Roveccio-Named in SEC Fraud Suit-NYC
Former Alexander Capital Brokers-Billy Gennity and Rocco Roveccio-Named in SEC Fraud Suit-NYC 150 150 Rex Securities Law

MARCH 2019 UPDATE-The SEC entered a consent judgment against WIlliam Gennity who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts to generate commissions.…

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Additional Individuals Indicted In Chimera Energy Corp. Fraud-Houston, Texas
Additional Individuals Indicted In Chimera Energy Corp. Fraud-Houston, Texas 150 150 Rex Securities Law

Houston, Texas – July 2017 According to a press release from the US Attorney’s Office for the Southern District of Texas, a second superseding indictment has been issued by a…

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SEC Files Action Over Verto Notes-Dallas & Plano, Texas
SEC Files Action Over Verto Notes-Dallas & Plano, Texas 150 150 Rex Securities Law

July 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…

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Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA
Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA 150 150 Rex Securities Law

Alpharetta, Georgia AUGUST 2017 UPDATE-The Securities and Exchange Commission (SEC) charged Christopher S. Laws and three other Atlanta area brokers with fraudulently inducing federal employees to roll over holdings in…

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Thurman P. Bryant, III, & Arthur F. Wammel- Found Guilty of Wire Fraud – Frisco, TX
Thurman P. Bryant, III, & Arthur F. Wammel- Found Guilty of Wire Fraud – Frisco, TX 150 150 Rex Securities Law

MAY 2019 UPDATE According to a press release issued by the Department of Justice, Thurman Bryant III, 46, of Frisco and Arthur Franz Wammel, 46, of Houston, were found guilty…

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