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theft by stockbroker

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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Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft
Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Rex Securities Law

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

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Jeffrey Grove-Former Charles Schwab Broker-Discloses Felony Charges & Termination-Melbourne,FL
Jeffrey Grove-Former Charles Schwab Broker-Discloses Felony Charges & Termination-Melbourne,FL 150 150 Rex Securities Law

Melbourne, Florida The FINRA records of Jeffrey Brian Grove ,  a  former Charles Schwab stock broker who was permanently barred from acting as a broker or otherwise associating with firms that sell securities disclose  a…

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Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge
Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge 150 150 Rex Securities Law

August  2016-Winter Park, Florida The FINRA records of Jamie D. Pope ,  a  stock broker who has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to…

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Michael J. Smeriglio Customer Paid $2.5 Million Settlement
Michael J. Smeriglio Customer Paid $2.5 Million Settlement 150 150 Rex Securities Law

April 2016-Trumbull, CT The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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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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Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX
Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX 150 150 Rex Securities Law

APRIL 2017 UPDATE In October 2016 Wade J. Lawrence was permanently barred by the SEC from acting as a broker, dealer, investment adviser, municipal securities dealer, municipal advisor or transfer…

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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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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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