Securities & Exchange Commission (SEC) Archives - Page 5 of 11

Rex Securities Law
February 13, 2017
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Worden Capital Brokers Gregory Dean and Donald Fowler Named in SEC Complaint

Worden Capital Brokers Gregory Dean and Donald Fowler Named in SEC Complaint 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 February 13, 2017 December 23, 2019

August 2019 Update-Gregory Dean was barred from the securities industry for churning customer accounts. See this for more details. MAY 2018 UPDATE–See this for update on pending customer disputes. ORIGINAL…

Rex Securities Law
February 13, 2017
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Former Essex Financial CEO Sanctioned by Regulators-Faces Home Confinement

Former Essex Financial CEO Sanctioned by Regulators-Faces Home Confinement 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 February 13, 2017 February 13, 2017

January 2017-Old Lyme, Connecticut The Day, an online news service covering a 20 town region in eastern Connecticut reports that John W. Rafal, 66, of Old Lyme, founder and former…

Rex Securities Law
November 29, 2016
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How to Recover Losses on Payson Petroleum Investments

How to Recover Losses on Payson Petroleum Investments 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 29, 2016 June 13, 2017

November 2016 -Dallas, Texas Matthew Carl Griffin and his brother William Daniel Griffin were named in a civil action filed by the Securities and Exchange Commission (SEC) charging them with…

Rex Securities Law
August 14, 2016
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William Gennity-Former Alexander Capital Broker-Accused of Churning by Regulators & Customers

William Gennity-Former Alexander Capital Broker-Accused of Churning by Regulators & Customers 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 14, 2016 March 5, 2019

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE April 2017-The FINRA records of William Gennity report the filing of an action by the US Securities and Exchange Commission…

Rex Securities Law
July 21, 2016
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Miami, FL-DOJ Charges Two With Securities Fraud

Miami, FL-DOJ Charges Two With 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 July 21, 2016 August 13, 2016

July 2016-Miami, Florida The Department of Justice announced that stock promoters Daniel McKelvey, 49, of Foster City, CA and Jeffrey L. Lamson, 51, of El Dorado Hills, CA, have been charged…

Rex Securities Law
July 16, 2016
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Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint

Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint 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 16, 2016 May 23, 2018

MARCH 2018 UPDATE-Pirrello Named in customer arbitration alleging churning. See this for details. May 2017 UPDATE-FINRA records disclose that Raymond J. Pirrello, Jr. has 9 prior final customer disputes and…

Rex Securities Law
April 13, 2016
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David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX

David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX 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 April 13, 2016 June 26, 2017

Dallas, Texas UPDATE JUNE 2017-David W. Williams discloses that FINRA Case 16-00346, see below, was settled for $250,000 in 12/2016. ORIGINAL POST-April 12, 2016 The FINRA records of David W. Williams,…

Rex Securities Law
April 12, 2016
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Eric Johnson Investigation Update-Former Redridge Securities Stock Broker

Eric Johnson Investigation Update-Former Redridge Securities Stock Broker 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 April 12, 2016 April 28, 2016

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…

Rex Securities Law
March 31, 2016
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Daniel and Matthew Rivera Ponzi Scheme-Robbins Lane

Daniel and Matthew Rivera Ponzi Scheme-Robbins Lane 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 March 31, 2016 March 31, 2016

March 30, 2016 The U.S. Securities and Exchange Commission charged Daniel Rivera and his brother Matthew Rivera, and their company, with a $2.7 million Ponzi scheme targeting elderly and unsophisticated…