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Securities & Exchange Commission (SEC)

SEC Shuts Down LottoNet Boiler Room-Pompano Beach, FL
SEC Shuts Down LottoNet Boiler Room-Pompano Beach, FL 150 150 Rex Securities Law

March 2017 The U.S. Securities and Exchange Commission announced the filing of a complaint against Florida based LottoNet Operating Corp. , its CEO David Gray and Joseph A. Vitale, a…

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John W. Rafal-Essex Financial Former President/CEO-Sentenced
John W. Rafal-Essex Financial Former President/CEO-Sentenced 150 150 Rex Securities Law

February 2018 update. Link to Rafal’s official FINRA record which discloses 3 final regulatory events, one final criminal proceeding, a customer dispute and a termination from employment. The U.S. Attorney’s Office for…

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SEC Warns Investors– Beware of Fake News
SEC Warns Investors– Beware of Fake News 150 150 Rex Securities Law

April 2017- Washington, DC The U. S. Securities and Exchange Commission issued an Investor Alert warning that articles on an investment research website appearing to be an unbiased source of…

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Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX
Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX 150 150 Rex Securities Law

April 2017-Plano, Texas The Securities and Exchange Commission charged Matthew W. Fox of Plano, TX, and his company Wayne Energy with securities fraud in connection with a joint venture formed…

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RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ
RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ 150 150 Rex Securities Law

October 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) ,  a  currently unregistered stockbroker who last worked for IFS Securities  , has numerous disclosures:  1 pending…

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Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas
Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas 150 150 Rex Securities Law

April 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) ,  a  FINRA registered broker dealer headquartered in Austin, Texas,  discloses  10 prior final regulatory events and…

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Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN
Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN 150 150 Rex Securities Law

March 2017-New York According to publicly available records filed with the Securities & Exchange Commission, Aegis Capital Corporation is being investigated by three regulatory agencies: FINRA-The Financial Industry Regulatory Authority SEC-Securities &…

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Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by Regulators
Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by Regulators 150 150 Rex Securities Law

February 2017- Washington The Securities and Exchange Commission (SEC) charged Sentinel Growth Fund Management and its founder Mark J. Varacchi with stealing money from investors to settle a private lawsuit,…

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Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, TX
Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, TX 150 150 Rex Securities Law

February 2017-Dallas, Texas Patrick O. Howard and two companies he controls, Optimal Economics Capital Partners and Howard Capital Holdings were named in a complaint filed by The Securities and Exchange…

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