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Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine
Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine 150 150 Rex Securities Law

March 11, 2015- A default judgment was entered against former Pompano Beach, FL, lawyer Guy Jean-Pierre (aka Marcelo Dominguez de Guerra) in favor of the Securities and Exchange Commission (SEC).…

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Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators
Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators 150 150 Rex Securities Law

February 27, 2015- Columbia, South Carolina The Securities Commissioner of the State of South Carolina has filed an Order to Cease and Desist against a Garland, Texas, Company and one…

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Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ
Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ 150 150 Rex Securities Law

March 3, 2015  – Manasquan, NJ Harvey Herman Meldrum   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with BCG Securities,…

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IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator
IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 3, 2015  – Watertown, NY Brian Scott Exford   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator
Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 2, 2015  – Willimantic, CT Tricia D. Willis   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she converted customer funds…

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Allan Roth of Tampa Arrested in Penny Stock Scam
Allan Roth of Tampa Arrested in Penny Stock Scam 150 150 Rex Securities Law

February 27, 2015-Tampa, Florida The Florida Office of Financial Regulation (OFR) reports that Allan Roth, 57, was arrested on 34 charges of selling unregistered securities and 34 counts of selling securities…

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Tarpon Springs Florida Man Arrested for Securities Fraud
Tarpon Springs Florida Man Arrested for Securities Fraud 150 150 Rex Securities Law

March 3, 2015- Tallahassee, Florida The Florida Office of Financial Regulation (OFR) announced that John Edward Simpson was arrested in Tarpon Springs, Florida, and has been charged with securities fraud,…

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Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud
Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud 150 150 Rex Securities Law

February 19, 2015- North Richland Hills, Texas The Texas State Securities Board announced that Charles Wayne Kilway was sentenced to 15 years in state prison for the fraudulent sale of…

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Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action
Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action 150 150 Rex Securities Law

February 27, 2015- Ft. Lauderdale, FL The InvestmentNews reports that Newbridge Securities Corp. , which is headquartered in Ft. Lauderdale, Florida, has agreed to pay $850,000 to resolve a class action…

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