Tampa Woman Pleads Guilty to Embezzlement of Church Funds

Tampa Woman Pleads Guilty to Embezzlement of Church Funds 150 150 Robert Rex, Esq.

July 2 , 2015-Tampa, FL The FBI announced that Juliet Ellis, 45, pleaded guilty to one count of wire fraud in connection with the embezzlement of funds from Palma Ceia…

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Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence

Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence 150 150 Robert Rex, Esq.

June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota,  consented to the entry of an Order Instituting Administrative and…

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Colorado Man Indicted for Securities Fraud in Connection with Ohio Oil & Gas Deals

Colorado Man Indicted for Securities Fraud in Connection with Ohio Oil & Gas Deals 150 150 Robert Rex, Esq.

June 25, 2015 According to the Colorado Division of Securities , Adam Edward Hirschfeld, 32, of Centennial, Colorado has been indicted for securities fraud in connection with raising money at least…

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Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents 150 150 Robert Rex, Esq.

June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated…

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South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Robert Rex, Esq.

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

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San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board

San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board 150 150 Robert Rex, Esq.

June 23, 2015-Austin, Texas John Morgan, Texas Securities Commissioner, entered a Cease and Desist Order against Petro-San Resources LLC and Sean Patrick Riley of San Antonio, Texas, alleging that they…

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Allstate Financial Services Broker Barred For Falsifying Insurance Applications

Allstate Financial Services Broker Barred For Falsifying Insurance Applications 150 150 Robert Rex, Esq.

June 23, 2015 Michael G. Seidel  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  submitted falsified applications…

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SEC Issues Investor Alert: Five Red Flags of Investment Fraud

SEC Issues Investor Alert: Five Red Flags of Investment Fraud 150 150 Robert Rex, Esq.

June 15, 2015 The U.S. Securities and Exchange Commission Office of Investor Education issued an Investor Alert pointing out the Five Red Flags of Investment Fraud: Promises of High Returns…

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SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud

SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud 150 150 Robert Rex, Esq.

June 18, 2015 The Securities and Exchange Commission (SEC) filed an action charging Norstra Energy, based in Southlake, Texas and its CEO Glen Landry with defrauding investors about reserve estimates…

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