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Rex Securities Law-BLOG

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

Plano Texas Man Convicted in Fictional Disney Scam
Plano Texas Man Convicted in Fictional Disney Scam 150 150 Rex Securities Law

February 20, 2015-Sherman, Texas The FBI , Dallas Division, announced that Thomas W. Lucas, Jr. , 35, of Plano, Texas, has been found guilty of federal wire fraud violations as…

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Donald Saccomano- Former Source Capital Group Broker-Suspended by Regulator-Westport, CT
Donald Saccomano- Former Source Capital Group Broker-Suspended by Regulator-Westport, CT 150 150 Rex Securities Law

Westport, CT UPDATE APRIL 2017–Donald Saccomano was suspended by FINRA in 4/2017 for failing to respond to a FINRA request for information. FINRA records indicate that he ceased working for Source…

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Dante S. Giovannetti Of Orlando, FL, Indicted on Investment Fraud
Dante S. Giovannetti Of Orlando, FL, Indicted on Investment Fraud 150 150 Rex Securities Law

February 18, 2015-Orlando, Florida According to the Tampa Division of the Federal Bureau of Investigation (FBI), Dante S. Giovannetti, age 50, has been indicted and charged with five counts of…

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Lincoln Nebraska Couple Pleads Guilty to Investment Scam
Lincoln Nebraska Couple Pleads Guilty to Investment Scam 150 150 Rex Securities Law

February 18, 2015- Lincoln, Nebraska The JournalStar.com reports that Scott and Robin Usher of Lincoln have admitted duping investors out of about $750,000 in a scheme involving phony inventions and…

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B.B. Graham & Co. Broker in Katy, Texas, Sanctioned by Securities Regulator
B.B. Graham & Co. Broker in Katy, Texas, Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 5, 2014-Katy, Texas  Henry McLain Dickinson, III  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between September 2009 and November…

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Sanders Morris Harris Sanctioned by Securities Regulator
Sanders Morris Harris Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 31, 2014-Houston, Texas  Sanders Morris Harris, Inc.  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, as a…

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OneAmerica Securities Investigated for Failing to Supervise Option Trading
OneAmerica Securities Investigated for Failing to Supervise Option Trading 150 150 Rex Securities Law

February 13, 2015 OneAmerica Securities, Inc.  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…

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Racine Broker Michael Cuccia Sanctioned by Securities Regulator
Racine Broker Michael Cuccia Sanctioned by Securities Regulator 150 150 Rex Securities Law

February 13, 2015-Racine, Wisconsin Michael F. Cuccia  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents, made loans…

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Sonos Capital Advisors Fined by South Carolina Securities Regulator
Sonos Capital Advisors Fined by South Carolina Securities Regulator 150 150 Rex Securities Law

February 12, 2015- Myrtle Beach, South Carolina The Securities Division of Office of the Attorney General of South Carolina imposed a $10,000 fine against Sonos Capital Advisors, LLC, of Myrtle…

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