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Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator
Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator 150 150 Rex Securities Law

April 9, 2015-Boca Raton, FL The Securities and Exchange Commission (SEC) announced the filing of fraud charges against the operators of a microcap/boiler room scheme in South Florida. Three of…

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Stafford Maxwell -Mableton Georgia CEO of Millenium Capital Exchange-Arrested for Ponzi Scheme
Stafford Maxwell -Mableton Georgia CEO of Millenium Capital Exchange-Arrested for Ponzi Scheme 150 150 Rex Securities Law

April 3, 2015- Atlanta Stafford S. Maxwell, 46, of Mableton, Georgia,  was arraigned on charges of orchestrating a multi-million dollar Ponzi scheme involving the foreign exchange market through his company…

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Fort Bend Texas Securities Trader Indicted for Theft of Investor Funds
Fort Bend Texas Securities Trader Indicted for Theft of Investor Funds 150 150 Rex Securities Law

April 7, 2015- Austin, Texas  The Texas State Securities Board (TSSB) announced that Jeffrey Ray Filla was arrested in Fort Bend County and indicted on securities fraud and other charges…

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Financial Agent Defrauds Elderly New Jersey Investor has Registration Revoked
Financial Agent Defrauds Elderly New Jersey Investor has Registration Revoked 150 150 Rex Securities Law

April 2, 2015 The registration of Ronald Paul Rafaloff of the Bronx had his registration revoked by the New Jersey Bureau of Securities and ordered him to pay $200,000 in…

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Buckman, Buckman & Reid Sanctioned by Securities Regulator
Buckman, Buckman & Reid Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 26, 2015- Buckman, Buckman & Reid and John Buckman, its chairman and CEO ,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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Evan Kochav-Former World Equity Group Broker-Indicted
Evan Kochav-Former World Equity Group Broker-Indicted 150 150 Rex Securities Law

March 24, 2015-Trenton, New Jersey NJ.Com reports that Evan Kochav, 33, of Jersey City has been indicted and charged with stealing over $561K from clients of his investment firm and then…

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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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Merrill Fined $2.5 Million by Massachusetts Securities Regulator William Galvin
Merrill Fined $2.5 Million by Massachusetts Securities Regulator William Galvin 150 150 Rex Securities Law

March 23, 2015 The Wall Street Journal reports that Merrill Lynch was ordered to pay $2.5 million to to Massachusetts Securities Regulators to resolve claims that it gave  internal presentations…

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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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