elder financial abuse by stockbroker Archives - Page 11 of 12

Rex Securities Law
September 18, 2015
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FBI Seeks Jean Chauvel In Connection With Florida-Based Commodity Trading Fraud

FBI Seeks Jean Chauvel In Connection With Florida-Based Commodity Trading 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 September 18, 2015 April 12, 2016

September 16, 2015- Miami, FL The FBI announced that they area seeking information that will lead to the arrest of Jean Chauvel who is wanted in connection with a Florida…

Rex Securities Law
August 27, 2015
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Dennis Flood of Medina County Ohio Sentenced For Insurance Scam

Dennis Flood of Medina County Ohio Sentenced For Insurance Scam 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 27, 2015 February 11, 2016

August 26, 2015- Cleveland, Ohio Cleveland.com reports that Dennis Flood, 64, of Brunswick, Ohio, pleaded guilty to engaging in a pattern of corrupt activity and aggravated theft for stealing from…

Rex Securities Law
August 10, 2015
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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 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 10, 2015 April 12, 2016

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…

Rex Securities Law
July 15, 2015
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John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client

John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client 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 15, 2015 June 4, 2016

July 13, 2015-Scottsdale, AZ John Anthony Waszolek entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…

Rex Securities Law
June 15, 2015
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Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? 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 June 15, 2015 April 20, 2016

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

Rex Securities Law
June 10, 2015
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North Carolina Securities Regulators Pursuing Securities Fraudsters

North Carolina Securities Regulators Pursuing Securities Fraudsters 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 June 10, 2015 December 13, 2016

June 2015 In the June 2015 Newsletter the North Carolina Securities Division announced their involvement in the following cases: Darren Joseph Capote, of Patterson, NY, was indicted on July 11,…

Rex Securities Law
June 10, 2015
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North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters

North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters 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 June 10, 2015 April 14, 2016

June 2015-NC Securities Division The North Carolina Securities Division‘s June 2015 Newsletter announced the sentencing of the following individuals for securities related violations: Michael Anthony Jenkins pleaded guilty to three…

Rex Securities Law
June 8, 2015
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Investment Fraud Workshop Set for June 15, Salina Public Library

Investment Fraud Workshop Set for June 15, Salina Public Library 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 June 8, 2015 April 14, 2016

A free workshop discussing the tactics and schemes of fraudsters and scammers will be held on June 15, 2015, from 12:45-1:45pm at the Salina Public Library in the Prescott Meeting…

Rex Securities Law
June 4, 2015
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Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds 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 June 4, 2015 May 5, 2016

April 28, 2015-Boca Raton, FL Richard Winsor Ohrn , was named in an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…