stockbroker negligence Archives - Page 137 of 149

Rex Securities Law
November 10, 2015
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Tampa Man Sentenced to 18 Months for Securities Fraud

Tampa Man Sentenced to 18 Months 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 November 10, 2015 April 11, 2016

November 4, 2015- Tampa, Florida The FBI announced that Gignesh Movalia was sentenced to 18 months in prison for operating a $9 million investment fraud scheme involving Facebook stock. Movalia…

Rex Securities Law
November 10, 2015
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Michael Collins of Alice, Texas, Indicted for Securities Fraud

Michael Collins of Alice, Texas, Indicted 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 November 10, 2015 February 11, 2016

October 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…

Rex Securities Law
November 10, 2015
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The Villages Is Subject of Study on Elder Financial Fraud

The Villages Is Subject of Study on Elder Financial 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 November 10, 2015 April 11, 2016

November 9, 2015- The Villages, Florida Florida State University College of Criminology and Criminal Justice in partnership with Merrill Lynch & Seniors vs. Crime is conducting research on elder financial…

Rex Securities Law
November 10, 2015
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Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes

Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes 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 November 10, 2015 December 15, 2016

UPDATE DECEMBER 2016–FINRA records indicate that Robert M. Hinz, Jr. left VSR Financial Services in July 2016 and is not currently registered with any FINRA broker dealer. ORIGINAL POST – Seatlle,…

Rex Securities Law
October 23, 2015
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Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX

Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX 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 October 23, 2015 July 18, 2017

Richardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records. Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…

Rex Securities Law
September 16, 2015
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NEXT Financial Group May Be Sold According to Investment News

NEXT Financial Group May Be Sold According to Investment News 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 September 16, 2015 April 12, 2016

September 11, 2015 The Investment News reports that NEXT Financial Group, Inc. , a Houston based brokerage firm founded in 1999, is up for sale. NEXT Financial has over 700…

Rex Securities Law
September 16, 2015
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Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering

Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering 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 September 16, 2015 April 12, 2016

September 3, 2015- Boca Raton/Plantation, Florida The Securities and Exchange Commission announced that Manny J. Shulman and David K. Herschman were charged with violating the securities laws for their involvement…

Rex Securities Law
September 9, 2015
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Plano Texas Man Sentenced to 210 Months in Federal Prison for Phony Walt Disney Development Scam

Plano Texas Man Sentenced to 210 Months in Federal Prison for Phony Walt Disney Development 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 September 9, 2015 February 11, 2016

September 1, 2015- Sherman, Texas Thomas W. Lucas, Jr. , 35 of Plano, Texas was sentenced to 210 months in federal prison following his conviction on 7 counts of wire…

Rex Securities Law
September 9, 2015
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Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board

Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board 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 September 9, 2015 February 11, 2016

September 4, 2015- Austin, Texas Texas Securities Commissioner John Morgan entered a Disciplinary Order against Dallas based WFG Investments, Inc. , reprimanding and fining the company $175,000 for failing to…