June 1, 2015-San Miguel de Allende, Mexico Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…
read moreApril 22, 2015-Bowling Green Kentucky The Kentucky Department of Financial Institutions is holding a workshop on April 30, 2015, at Knicely Conference Center, Western Kentucky University to educate seniors on…
read moreApril 8, 2015- Dallas, Texas David Lyman Spalding of Colleyville, Texas was convicted by a federal jury on wire fraud, mail fraud and making false statements in connection with a…
read moreMarch 12, 2015-North Carolina The North Carolina Securities Division of the Department of the Secretary of State announced that Micah Christopher Wilson, 59, of Gastonia was charged with felony securities…
read moreApril 3, 2015- Atlanta Stafford S. Maxwell, 46, of Mableton, Georgia, was arraigned on charges of orchestrating a multi-million dollar Ponzi scheme involving the foreign exchange market through his company…
read moreApril 3, 2015 The FBI announced that Matthew Carley, of Bozeman, Montana, was sentenced to 24 months in prison for his role in a stock manipulation scheme involving Ashburn, Virginia,…
read moreApril 2, 2015 The registration of Ronald Paul Rafaloff of the Bronx had his registration revoked by the New Jersey Bureau of Securities and ordered him to pay $200,000 in…
read moreMarch 31,2015 The U.S. Commodity Futures Trading Commission (CFTC) file a civil enforcement action in the District Court for the Middle District of Florida against Maverick International and principals Wesley…
read moreJanuary 26, 2015- Buckman, Buckman & Reid and John Buckman, its chairman and CEO , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…
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