fbpx

Securities & Exchange Commission (SEC)

North Carolina Securities Division July 2015 Newsletter
North Carolina Securities Division July 2015 Newsletter 150 150 Rex Securities Law

July  2015- Raleigh, North Carolina The North Carolina Securities Division of the Department of the Secretary of State issues a monthly newsletter highlighting recent enforcement actions for securities violations and other…

read more

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable
Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Rex Securities Law

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

read more

Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme
Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme 150 150 Rex Securities Law

July 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…

read more

Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence
Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence 150 150 Rex Securities Law

June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota,  consented to the entry of an Order Instituting Administrative and…

read more

SEC Issues Investor Alert: Five Red Flags of Investment Fraud
SEC Issues Investor Alert: Five Red Flags of Investment Fraud 150 150 Rex Securities Law

June 15, 2015 The U.S. Securities and Exchange Commission Office of Investor Education issued an Investor Alert pointing out the Five Red Flags of Investment Fraud: Promises of High Returns…

read more

SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud
SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud 150 150 Rex Securities Law

June 18, 2015 The Securities and Exchange Commission (SEC) filed an action charging Norstra Energy, based in Southlake, Texas and its CEO Glen Landry with defrauding investors about reserve estimates…

read more

Former Trident Partners Broker William Quigley Investigation
Former Trident Partners Broker William Quigley Investigation 150 150 Rex Securities Law

May 28,2015 Rex Securities Law is investigating former Trident Partners, Ltd. broker William Michael Quigley. The Securities & Exchange Commission filed an administrative proceeding (File No. 3-16560) against William Michael…

read more

Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals
Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals 150 150 Rex Securities Law

June 1 , 2015-Murphy,  Texas The Securities and Exchange Commission sued Sameer Praveen Sethi and his company Sethi Petroleum alleging that since January 2014, Sethi and his company raise $4…

read more

Rex Securities Law Investigates Dallas Based Novers Financial
Rex Securities Law Investigates Dallas Based Novers Financial 150 150 Rex Securities Law

June 1, 2015-Dallas/Ft. Worth, Texas Rex Securities Law is investigating Novers Financial, Christopher A Novinger and Brady J. Speers, of Mansfield, Texas, in connection with the sale of life settlements.…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com