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recover investment losses

Newbridge Securities Fined by Regulators for Supervision Deficiencies
Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Rex Securities Law

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators
Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators 150 150 Rex Securities Law

June 10, 2015 According to FINRA records, Mark Andrew Bullivant, of Fort Myers, Florida,  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA)…

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Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales
Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales 150 150 Rex Securities Law

June 9, 2015 Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May…

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Garden State Securities Discloses 21 Regulatory Events
Garden State Securities Discloses 21 Regulatory Events 150 150 Rex Securities Law

Red Bank, NJ UPDATE June 2017-Garden State Securities reports 21 prior regulatory events on their FINRA records, including the following recent matter: 4/2017-Agreed to FINRA censure and a fine of…

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David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens
David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens 150 150 Rex Securities Law

June 2, 2015-Boca Raton, FL David James LeDoux ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed…

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Plant City Florida Insurance Agent Charged with Fraud
Plant City Florida Insurance Agent Charged with Fraud 150 150 Rex Securities Law

June 16, 2015-Tampa, FL Heidi Y. Calonge, 34, of Plant City, Florida, was charged with bank fraud, wire fraud and mail fraud for allegedly wrongfully taking bonus and commission checks.…

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Former Dolphin Will Allen Arrested on Securities Fraud
Former Dolphin Will Allen Arrested on Securities Fraud 150 150 Rex Securities Law

June 12, 2015 Will Allen, 36, a former Miami Dolphin cornerback  living in Davie, Florida, and Susan Daub, 55, of Coral Springs, Florida, were charged with securities fraud in connection…

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Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months
Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months 150 150 Rex Securities Law

Staunton, Virginia Kirsten Flynn Hawkins, 45, pled guilty to wire fraud in January 2015, and in May 2015, was sentenced to 41 months in prison and ordered to pay restitution…

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Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s
Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 150 150 Rex Securities Law

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…

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