StockBroker Misconduct Archives

Robert Rex, Esq.
April 9, 2015

Gastonia Resident Charged with Securities Fraud by North Carolina Regulators

Gastonia Resident Charged with Securities Fraud by North Carolina 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 9, 2015 April 9, 2015

March 12, 2015-North Carolina The North Carolina Securities Division of the Department of the Secretary of State announced that Micah Christopher Wilson, 59, of Gastonia was charged with felony securities…

Robert Rex, Esq.
April 8, 2015

Stafford Maxwell -Mableton Georgia CEO of Millenium Capital Exchange-Arrested for Ponzi Scheme

Stafford Maxwell -Mableton Georgia CEO of Millenium Capital Exchange-Arrested for Ponzi 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 8, 2015 April 8, 2015

April 3, 2015- Atlanta Stafford S. Maxwell, 46, of Mableton, Georgia, was arraigned on charges of orchestrating a multi-million dollar Ponzi scheme involving the foreign exchange market through his company…

Robert Rex, Esq.
April 7, 2015

Fort Bend Texas Securities Trader Indicted for Theft of Investor Funds

Fort Bend Texas Securities Trader Indicted for Theft of Investor Funds https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 7, 2015 April 7, 2015

April 7, 2015- Austin, Texas The Texas State Securities Board (TSSB) announced that Jeffrey Ray Filla was arrested in Fort Bend County and indicted on securities fraud and other charges…

Robert Rex, Esq.
April 6, 2015

Montana Man Sentenced in Pump/Dump Penny Stock Scam

Montana Man Sentenced in Pump/Dump Penny Stock Scam https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 6, 2015 April 6, 2015

April 3, 2015 The FBI announced that Matthew Carley, of Bozeman, Montana, was sentenced to 24 months in prison for his role in a stock manipulation scheme involving Ashburn, Virginia,…

Robert Rex, Esq.
March 21, 2015

David Harari-San Antonio Stock Broker Sanctioned by Regulator

David Harari-San Antonio Stock Broker Sanctioned by 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 21, 2015 March 21, 2015

March 9, 2015- San Antonio, Texas The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

Robert Rex, Esq.
March 21, 2015

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 21, 2015 March 21, 2015

March 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…

Robert Rex, Esq.
March 20, 2015

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 20, 2015 March 20, 2015

March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc. failed to supervise Michigan broker Lewis J.…

Robert Rex, Esq.
March 5, 2015

Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ

Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 5, 2015 March 5, 2015

March 3, 2015 – Manasquan, NJ Harvey Herman Meldrum entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with BCG Securities,…

Robert Rex, Esq.
March 4, 2015

Tarpon Springs Florida Man Arrested for Securities Fraud

Tarpon Springs Florida Man Arrested for 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 4, 2015 March 4, 2015

March 3, 2015- Tallahassee, Florida The Florida Office of Financial Regulation (OFR) announced that John Edward Simpson was arrested in Tarpon Springs, Florida, and has been charged with securities fraud,…