recover investment losses Archives - Page 208 of 210

Rex Securities Law
March 5, 2015
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Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 5, 2015 April 28, 2016

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…

Rex Securities Law
March 4, 2015
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Allan Roth of Tampa Arrested in Penny Stock Scam

Allan Roth of Tampa Arrested in Penny Stock Scam https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 4, 2015 August 5, 2016

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…

Rex Securities Law
March 4, 2015
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Tarpon Springs Florida Man Arrested for Securities Fraud

Tarpon Springs Florida Man Arrested for Securities Fraud https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 4, 2015 April 28, 2016

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,…

Rex Securities Law
February 27, 2015
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 27, 2015 May 5, 2016

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…

Rex Securities Law
February 27, 2015
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 27, 2015 May 5, 2016

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…

Rex Securities Law
February 27, 2015
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Alabama Broker Terry Bagwell Sanctioned by Securities Regulator

Alabama Broker Terry Bagwell Sanctioned by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 27, 2015 May 5, 2016

UPDATE- April 2016: Bagwell Settles Millions in Customer Claims/ Named in Alabama Securities Commission investigation. See this for more. February 26, 2015 – Birmingham, Alabama Terry Joe Bagwell entered into a Letter of…

Rex Securities Law
February 26, 2015
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Jason Kronick-Former Standard Credit Securities Stockbroker-Sanctioned by FINRA-Woodcliff Lake, NJ

Jason Kronick-Former Standard Credit Securities Stockbroker-Sanctioned by FINRA-Woodcliff Lake, NJ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 26, 2015 May 26, 2018

Woodcliff Lake, New Jersey UPDATE MAY 2017–According to FINRA records, Jason Kronick was permanently barred by FINRA who found that he willfully failed to disclose a material fact on a…

Rex Securities Law
February 26, 2015
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EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements

EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 26, 2015 May 5, 2016

February 25, 2015 EDI Financial, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company failed to adopt and implement…

Rex Securities Law
February 25, 2015
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Former J.P. Morgan Securities Broker Barred from Securities Industry

Former J.P. Morgan Securities Broker Barred from Securities Industry https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 25, 2015 May 5, 2016

February 23, 2015 Alen Alic entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in September 2014, while working as a teller…