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South Carolina Securities Division

Losses on GTAT ? Recovery Options For Investors

Losses on GTAT ? Recovery Options For Investors 150 150 Rex Securities Law

If you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…

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Legend Securities Fined $300,000 by S. Carolina Securities Regulators

Legend Securities Fined $300,000 by S. Carolina Securities Regulators 150 150 Rex Securities Law

March 18, 2016-Columbia, South Carolina Legend Securities was named in Administrative Order File Number 14108 filed  by the Securities Division of the Office of the Attorney General of South Carolina for…

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Legend Securities Fined $125,000 Over Penny Stock Sales

Legend Securities Fined $125,000 Over Penny Stock Sales 150 150 Rex Securities Law

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

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Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud 150 150 Rex Securities Law

March 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…

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Willis-Stafford Named in Cease and Desist Order by S. Carolina Securities Commissioner

Willis-Stafford Named in Cease and Desist Order by S. Carolina Securities Commissioner 150 150 Rex Securities Law

July 14, 2015-Columbia, South Carolina The Securities Commissioner of South Carolina entered a Cease and Desist Order against Prospect, Kentucky-based  Willis-Stafford Corporation in connection with a proposed offering of stock for…

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South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015

South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015 150 150 Rex Securities Law

August 10, 2015-Darlington, South Carolina The South Carolina Office of the Attorney General, Securities Division is hosting a public investor education seminar at noon, Wednesday, August 19th, 2015. Topics to…

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South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Rex Securities Law

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

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South Carolina Regulators Revoke Registration of Broker William B. Guido

South Carolina Regulators Revoke Registration of Broker William B. Guido 150 150 Rex Securities Law

March 11, 2015-Mount Pleasant, South Carolina The Securities Commissioner of South Carolina revoked, by default, the registration of William Benton Guido permanently barring him from engaging in the securities business…

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Recent Orders Entered by Securities Commissioner of South Carolina

Recent Orders Entered by Securities Commissioner of South Carolina 150 150 Rex Securities Law

March 3, 2015 The Securities Commissioner of South Carolina recently issued the following Cease and Desist Orders. Follow links to view orders: In the Matter of William Gwinn and Creative Exteriors In the Matter…

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