July 13, 2015- Orlando, Florida The FBI announced in a Press Release that Dante S. Giovannetti, 50, of Orlando, Florida, was sentenced to 63 months in federal prison for wire fraud. He was also…
read moreJuly 13, 2015- Fort Myers, Florida The FBI announced in a Press Release that Dorian Graves, 30, of Naples, Florida, pleaded guilty to wire fraud for operating an investment scheme…
read moreJuly 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. According to FINRA records, Tatro was permanently barred from the securities industry in…
read moreUPDATE MARCH 2017-In April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016. Smith currently discloses a total of 13 prior customer…
read moreJune 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and provided false testimony to FINRA staff in…
read moreJune 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…
read moreJuly 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…
read moreJuly 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager, filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…
read moreJuly 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…
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