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penny stock

Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL
Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL 150 150 Rex Securities Law

December 2016-Davie, FL The FINRA records of  Mark B. Beloyan,  a  stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…

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Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning
Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning 150 150 Rex Securities Law

MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber ,  a broker who has been  registered  with Feltl & Company since  12/2006 , discloses five prior customer disputes, two final regulatory…

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Losses on GTAT ? Recovery Options For Investors
Losses on GTAT ? Recovery Options For Investors 150 150 Rex Securities Law

If you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…

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Legend Securities Fined $125,000 Over Penny Stock Sales
Legend Securities Fined $125,000 Over Penny Stock Sales 150 150 Rex Securities Law

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

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Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL
Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL 150 150 Rex Securities Law

January 11, 2016 Robert E. Richards entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance 500,…

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Christopher Wheeler, Penny Stock Promoter Charged with Securities Fraud
Christopher Wheeler, Penny Stock Promoter Charged with Securities Fraud 150 150 Rex Securities Law

January 14, 2015 The SEC charged Christopher Wheeler of Victor, New York,  a penny stock promoter, with fraud for not disclosing that he was being paid to promote the stock…

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Robert B. Cook Ordered to Pay $150k Penalty –E-Monee.com Penny Stock Scam
Robert B. Cook Ordered to Pay $150k Penalty –E-Monee.com Penny Stock Scam 150 150 Rex Securities Law

December 23, 2014 The US Securities and Exchange Commission announced that Robert B. Cook was ordered to pay a $150,000 civil penalty by the Honorable William J Zloch, US District…

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SEC Suspends Trading in Geo Finance Corp. ( GEFI)
SEC Suspends Trading in Geo Finance Corp. ( GEFI) 150 150 Rex Securities Law

December 16, 2014 Trading was temporarily suspended by the US Securities and Exchange Commission in the securities of Geo Finance Corp (GEFI) of Henderson Nevada …“because of concerns regarding the…

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SEC Charges Anthony Thompson, Jay Fung & Eric Van Nguyen In Pump & Dump Scheme
SEC Charges Anthony Thompson, Jay Fung & Eric Van Nguyen In Pump & Dump Scheme 150 150 Rex Securities Law

November 17, 2014- Anthony Thompson of Bethesda, Maryland , Jay Fung of Delray Beach, FL,  and Eric Van Nguyen of Canada were charged by the SEC for operating pump and…

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