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Penny Stocks

Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL

Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL 150 150 Rex Securities Law

February 2019-Tampa, FL The U.S. Securities & Exchange Commission (SEC) issued a litigation release on 2/21/2019 charging Spartan Securities Group, Ltd. , Island Capital Management, LLC, Carl E. Dilley, Micah…

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SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island

SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island 150 150 Rex Securities Law

July 2017 Thirteen individuals from two Long Island-based boiler rooms were charged with securities fraud by the Securities and Exchange Commission who alleges that they made hundreds of thousands of…

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Cannabis Penny Stock Promoter James Farinella Named In SEC Fraud Suit

Cannabis Penny Stock Promoter James Farinella Named In SEC Fraud Suit 150 150 Rex Securities Law

JUNE 2017 The U S Securities and Exchange Commission charged James M. Farinella ,  Integrated Capital Partners (ICP) , Anthony Amado, Equities Awareness Group LLC (EAG) and Carlos Palomino with…

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WFG Investments Ignored Red Flags in San Antonio, TX , Branch

WFG Investments Ignored Red Flags in San Antonio, TX , Branch 150 150 Rex Securities Law

May 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA

Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA 150 150 Rex Securities Law

May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) ,  a  stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…

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Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL

Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL 150 150 Rex Securities Law

December 2016-Davie, FL The FINRA records of  Mark B. Beloyan,  a  stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…

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Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes

Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes 150 150 Rex Securities Law

New York MAY 2018 UPDATE–The FINRA records  of Joshua Feldman disclose settlement of   FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…

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Miami, FL-DOJ Charges Two With Securities Fraud

Miami, FL-DOJ Charges Two With Securities Fraud 150 150 Rex Securities Law

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…

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Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes

Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes 150 150 Rex Securities Law

July 2016-New York The FINRA records of Michael S. Lavolpe  , a  currently unlicensed stockbroker who was  most recently employed by  Meyers Associates  , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…

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