StockBroker Misconduct Archives

Robert Rex, Esq.
June 10, 2015

Securities Service Network Acquires The Horizon Group

Securities Service Network Acquires The Horizon Group 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 10, 2015 June 10, 2015

June 9, 2015 The Investment News reports that Knoxville, Tennessee-based broker dealer Securities Service Network (SSN) has acquired The Horizons Group, a firm previously affiliated with Cadaret, Grant & Co.…

Robert Rex, Esq.
June 8, 2015

Investment Fraud Workshop Set for June 15, Salina Public Library

Investment Fraud Workshop Set for June 15, Salina Public Library 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 8, 2015 June 8, 2015

A free workshop discussing the tactics and schemes of fraudsters and scammers will be held on June 15, 2015, from 12:45-1:45pm at the Salina Public Library in the Prescott Meeting…

Robert Rex, Esq.
June 5, 2015

Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry

Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry 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 5, 2015 June 5, 2015

UPDATE-In October 2015, Otis Bradley was permanently barred from the securities industry by FINRA. Original Post–April 27, 2015 Otis T. Bradley, was named in a complaint filed by FINRA alleging…

Robert Rex, Esq.
June 4, 2015

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments 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 4, 2015 June 4, 2015

April 23, 2015 RBC Capital Markets , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2008 through 2012 the firm…

Robert Rex, Esq.
June 3, 2015

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading 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 3, 2015 June 3, 2015

UPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer. Our Original Post–March 6, 2015, Fair Oaks Ranch, Texas Barry S. Brower, entered into a Letter of…

Robert Rex, Esq.
June 3, 2015

Phil Williamson Charged in South Florida Securities Fraud

Phil Williamson Charged in South Florida Securities 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 3, 2015 June 3, 2015

June 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…

Robert Rex, Esq.
June 3, 2015

Cabot Investment Properties Execs Face Criminal Charges

Cabot Investment Properties Execs Face Criminal Charges 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 3, 2015 June 3, 2015

June 3, 2015 Carlton Cabot, 52, of Stamford, Connecticut and Timothy Kroll, 42, of New Hope, Pennsylvania, were named in a criminal complaint accusing them of of misappropriating funds from…

Robert Rex, Esq.
June 1, 2015

Fourth Person Found Guilty in Kentucky Oil Investment Scheme

Fourth Person Found Guilty in Kentucky Oil Investment Scheme 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 1, 2015 June 1, 2015

June 1, 2015 Henry Irving Ramer was found guilty by a federal jury of operating a multi-mllion dollar investment scheme in which over 200 investors nationwide lost all or nearly…

Robert Rex, Esq.
June 1, 2015

Rex Securities Law Investigates Dallas Based Novers Financial

Rex Securities Law Investigates Dallas Based Novers Financial 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 1, 2015 June 1, 2015

June 1, 2015-Dallas/Ft. Worth, Texas Rex Securities Law is investigating Novers Financial, Christopher A Novinger and Brady J. Speers, of Mansfield, Texas, in connection with the sale of life settlements.…

Robert Rex, Esq.
June 1, 2015

Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law

Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law 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 1, 2015 June 1, 2015

June 1, 2015-San Miguel de Allende, Mexico Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…

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