StockBroker Misconduct Archives

Robert Rex, Esq.
July 8, 2015

Ascendiant Capital Markets Sanctioned by Securities Regulator

Ascendiant Capital Markets Sanctioned by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 8, 2015 July 8, 2015

June 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,…

Robert Rex, Esq.
July 8, 2015

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 8, 2015 July 8, 2015

July 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…

Robert Rex, Esq.
July 7, 2015

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 7, 2015 July 7, 2015

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…

Robert Rex, Esq.
June 26, 2015

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 26, 2015 June 26, 2015

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…

Robert Rex, Esq.
June 25, 2015

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

San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 25, 2015 June 25, 2015

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…

Robert Rex, Esq.
June 24, 2015

Allstate Financial Services Broker Barred For Falsifying Insurance Applications

Allstate Financial Services Broker Barred For Falsifying Insurance Applications https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 24, 2015 June 24, 2015

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…

Robert Rex, Esq.
June 24, 2015

Dirk Rabenold-NEXT Financial Group Broker-Discloses Settlement of Customer Arbitration

Dirk Rabenold-NEXT Financial Group Broker-Discloses Settlement of Customer Arbitration https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 24, 2015 June 24, 2015

UPDATE JUNE 2017– FINRA Case 15-2763, which was filed against Dirk Rabenold by a customer of NEXT Financial Group customer alleged that Rabenold recommended an unsuitable investment and sought damages of…

Robert Rex, Esq.
June 23, 2015

SEC Issues Investor Alert: Five Red Flags of Investment Fraud

SEC Issues Investor Alert: Five Red Flags of Investment Fraud https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 23, 2015 September 29, 2023

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…

Robert Rex, Esq.
June 22, 2015

Second Individual Pleads Guilty in Florida Ponzi Scheme- Apopka Defendant Sentenced

Second Individual Pleads Guilty in Florida Ponzi Scheme- Apopka Defendant Sentenced https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 22, 2015 June 22, 2015

June 25, 2015-Ocala, Florida Bryan T. Zuzga, 37, of Goldwater, Michigan pleaded guilty to conspiracy to commit wire fraud according to an FBI press release. He faces up to 20…

Robert Rex, Esq.
June 22, 2015

Alluvion Securities Hit With Net Capital Violation Suit by Regulators

Alluvion Securities Hit With Net Capital Violation Suit by Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 22, 2015 June 22, 2015

June 19, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No 2013035347704 against Alluvion Securities, LLC, Lowell S. Wilson and John S. Jumper alleging net capital violations, supervisory violations and…

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