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WR&A Financial Services Sanctioned by South Carolina Securities Regulator
WR&A Financial Services Sanctioned by South Carolina Securities Regulator 150 150 Rex Securities Law

February 12, 2015- South Carolina South Carolina Securities Commissioner Alan Wilson revoked the registration of WR&A Financial Services, Inc. of Charleston, South Carolina,  and assessed a $10,000 fine for failing…

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SEC Files Complaint Against Caledonian Bank-Penny Stocks
SEC Files Complaint Against Caledonian Bank-Penny Stocks 150 150 Rex Securities Law

February 11, 2015 The U.S. Securities & Exchange Commission (SEC) filed a complaint alleging the sale of unregistered securities against the following defendants: Caledonian Bank Ltd. Caledonian Securities Ltd. Clear…

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Florida Financial Planner Michael Hardman Convicted of Bilking Investors
Florida Financial Planner Michael Hardman Convicted of Bilking Investors 150 150 Rex Securities Law

February 13, 2015-West Palm Beach, Florida The InsuranceNewsNet.com reports that former Lake Worth, FL, financial planner Michael Hardman was convicted of first and second degree grand theft for bilking investors…

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Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues
Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues 150 150 Rex Securities Law

February 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…

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Thomas Lucas Found Guilty in North Texas Disney Park Trial
Thomas Lucas Found Guilty in North Texas Disney Park Trial 150 150 Rex Securities Law

February 13, 2015- Sherman, Texas The Dallas Morning News reports that a jury took less than an hour to return a verdict of guilty on all counts in the fraud…

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Mark Malik Indicted In New York- Charged with Securities Fraud
Mark Malik Indicted In New York- Charged with Securities Fraud 150 150 Rex Securities Law

February 15, 2015- Long Island, New York Mark Malik (aka Moazzam Ifzal Malik) age 33, of Lahore Pakistan, was indicted and charged with stealing over $250,000 from five investors in…

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SEC Files Fraud Complaint vs. Roger Bliss and His Investment Club
SEC Files Fraud Complaint vs. Roger Bliss and His Investment Club 150 150 Rex Securities Law

UPDATE January 2016–Bliss to serve a year and a day in federal prison for trying to corruptly influence and obstruct the administration of justice in the SEC case.  See Department…

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Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law
Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law 150 150 Rex Securities Law

February 13, 2015 Rex Securities Law is investigating Wade James Lawrence who was formerly a stock broker with Southwest Securities in Dallas, Texas, 8/2011-12/2013. Prior to that FINRA records indicate…

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