James Warr of Austin Sentenced to 15 Years for Fraud

James Warr of Austin Sentenced to 15 Years for Fraud 150 150 Robert Rex, Esq.

January 2018 Update-James E. Warr was convicted of Texas securities fraud and other felonies, including money laundering, and sentenced to 15 years in prison. July 16, 2015-Austin, Texas James Elton…

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Cape Securities Fined $125K by Securities Regulators

Cape Securities Fined $125K by Securities Regulators 150 150 Robert Rex, Esq.

May 5, 2015 Cape Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

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Former Lowell and Company Broker From Lubbock Sanctioned by Regulators

Former Lowell and Company Broker From Lubbock Sanctioned by Regulators 150 150 Robert Rex, Esq.

July 10, 2015-Lubbock, TX Jeffery Karl Hobgood  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…

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Former Wunderlich Securities Broker Sanctioned By Regulators-Plano

Former Wunderlich Securities Broker Sanctioned By Regulators-Plano 150 150 Robert Rex, Esq.

July 10, 2015-Dallas, TX Joseph C. Schroeder entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: violated NASD Rule…

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John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client

John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client 150 150 Robert Rex, Esq.

July 13, 2015-Scottsdale, AZ John Anthony Waszolek  entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…

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Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien

Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien 150 150 Robert Rex, Esq.

July 1, 2015 John Allen Brown entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in June 2015 he…

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Raymond James Agrees to Return $4.4 Million in Mutual Fund Overcharges

Raymond James Agrees to Return $4.4 Million in Mutual Fund Overcharges 150 150 Robert Rex, Esq.

July 6, 2015 Raymond James & Associates  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2009…

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Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas

Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas 150 150 Robert Rex, Esq.

July 10, 2015 The Dallas Morning News reports that Justin Spearman, 27, of Winter Park, Florida, has been charged in the Eastern District of Texas with wire fraud in connection…

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SEC Charges B.J. Gallison and 33 Others -From Costa Rica to California–in Penny Stock Scheme

SEC Charges B.J. Gallison and 33 Others -From Costa Rica to California–in Penny Stock Scheme 150 150 Robert Rex, Esq.

July 14, 2015-Washington DC The Securities and Exchange Commission (SEC) charged 15 individuals and 19 companies in a penny stock pump and dump scheme. The SEC complaint alleges that Moneyline…

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North Carolina Securities Division July 2015 Newsletter

North Carolina Securities Division July 2015 Newsletter 150 150 Robert Rex, Esq.

July  2015- Raleigh, North Carolina The North Carolina Securities Division of the Department of the Secretary of State issues a monthly newsletter highlighting recent enforcement actions for securities violations and other…

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