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stockbroker negligence

Gary Williky Named in Securities Fraud Action- Colleyville, Texas
Gary Williky Named in Securities Fraud Action- Colleyville, Texas 150 150 Rex Securities Law

March 2, 2015-Colleyville, Texas The U.S. Securities & Exchange Commission (SEC) filed a complaint seeking an injunction alleging that Gary S. Williky of Colleyville, Texas perpetrated an illegal market manipulation and…

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Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators
Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators 150 150 Rex Securities Law

February 27, 2015- Columbia, South Carolina The Securities Commissioner of the State of South Carolina has filed an Order to Cease and Desist against a Garland, Texas, Company and one…

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IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator
IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 3, 2015  – Watertown, NY Brian Scott Exford   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator
Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator 150 150 Rex Securities Law

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…

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Allan Roth of Tampa Arrested in Penny Stock Scam
Allan Roth of Tampa Arrested in Penny Stock Scam 150 150 Rex Securities Law

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…

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Tarpon Springs Florida Man Arrested for Securities Fraud
Tarpon Springs Florida Man Arrested for Securities Fraud 150 150 Rex Securities Law

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,…

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“Wings Network” Named by SEC in Ponzi Scheme Targeting Latinos
“Wings Network” Named by SEC in Ponzi Scheme Targeting Latinos 150 150 Rex Securities Law

February 27, 2015 The U.S. Securities & Exchange Commission (SEC) filed charges against 3 company officers and 12 promoters who were operating an international pyramid scheme using  Portuguese companies operating…

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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 150 150 Rex Securities Law

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…

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Alabama Broker Terry Bagwell Sanctioned by Securities Regulator
Alabama Broker Terry Bagwell Sanctioned by Securities Regulator 150 150 Rex Securities Law

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…

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