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North Carolina Securities Division

North Carolina Securities Regulators Latest Enforcement News September 2022

North Carolina Securities Regulators Latest Enforcement News September 2022 150 150 Rex Securities Law

Securities Enforcement Actions  Securities Division- North Carolina Secretary of State   Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…

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North Carolina Securities Division July 2015 Newsletter

North Carolina Securities Division July 2015 Newsletter 150 150 Rex Securities Law

July  2015- Raleigh, North Carolina The North Carolina Securities Division of the Department of the Secretary of State issues a monthly newsletter highlighting recent enforcement actions for securities violations and other…

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North Carolina Securities Regulators Pursuing Securities Fraudsters

North Carolina Securities Regulators Pursuing Securities Fraudsters 150 150 Rex Securities Law

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,…

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North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters

North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters 150 150 Rex Securities Law

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…

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