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theft by stock broker

Levi Lindemann Sentenced to Six Years for Alternative Wealth Solutions Fraud
Levi Lindemann Sentenced to Six Years for Alternative Wealth Solutions Fraud 150 150 Rex Securities Law

November 2016-Stillwater, MN The Star Tribune reports that Levi Lindemann, the financial advisor from Stillwater who pleaded guilty to mail fraud and money laundering, was sentenced to more than six…

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Eric Johnson Investigation Update-Former Redridge Securities Stock Broker
Eric Johnson Investigation Update-Former Redridge Securities Stock Broker 150 150 Rex Securities Law

April 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…

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Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX
Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX 150 150 Rex Securities Law

UPDATE SEPTEMBER 2016– Former NEXT Financial Group stockbroker, Tye Williams barred from the securities industry for failing to cooperate with regulatory investigation alleging theft of $1M. See this for more details. …

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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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