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theft by stock broker

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud
Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud 150 150 Rex Securities Law

March 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…

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Dallas Broker Wade Lawrence Named in New SEC Complaint
Dallas Broker Wade Lawrence Named in New SEC Complaint 150 150 Rex Securities Law

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

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Former Voya Financial Stock Broker Pleads Guilty to Ponzi Scheme
Former Voya Financial Stock Broker Pleads Guilty to Ponzi Scheme 150 150 Rex Securities Law

December 23, 2015- Queensbury, NY The TimesUnion reports that Voya Financial is repaying former clients of Queensbury stock broker Frederick E. Monroe. Monroe, who worked out of the offices of…

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Larry Werbel Indicted for $15M VGTL Securities Fraud
Larry Werbel Indicted for $15M VGTL Securities Fraud 150 150 Rex Securities Law

1/8/2016- Cleveland, Ohio Larry Werbel, 67,  of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…

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Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft
Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft 150 150 Rex Securities Law

December 18, 2015- Fidelity Brokerage Services , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between August 2006 and…

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Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds
Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds 150 150 Rex Securities Law

August 18, 2015- Henderson, Nevada Glenn Allen Moffitt  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud
Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud 150 150 Rex Securities Law

San Antonio, Texas  The FBI announced that former Merrill Lynch broker Bruce E. Hammonds, 50, of San Antonio and Boerne, Texas, was sentenced to 57 months in prison for securities…

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Michael Collins of Alice, Texas, Indicted for Securities Fraud
Michael Collins of Alice, Texas, Indicted for Securities Fraud 150 150 Rex Securities Law

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…

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Armando Hernandez Leal Admits Laundering $66 Million From Mexican Investor-San Antonio
Armando Hernandez Leal Admits Laundering $66 Million From Mexican Investor-San Antonio 150 150 Rex Securities Law

August 26, 2015- San Antonio, Texas The FBI reports that Armando Jesus Hernandez Leal, 53, of Shavano Park, Texas, pleaded guilty to federal money laundering charges in connection with a…

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