Elder Financial Abuse Archives

Robert Rex, Esq.
August 27, 2015

St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015

St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015 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 August 27, 2015 August 27, 2015

August 27, 2015- Slidell, Louisiana The St. Tammany SALT Council, the Council on Aging St. Tammany (COAST) and Gulf Coast Bank & Trust are holding a free seminar on Financial…

Robert Rex, Esq.
August 22, 2015

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 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 August 22, 2015 August 22, 2015

August18, 2015, Glenn Allen Moffitt, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…

Robert Rex, Esq.
August 17, 2015

FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme

FSC Securities Hit with $1.28M Award For Aubrey Lee Price 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 August 17, 2015 August 17, 2015

August 11, 2015 -Atlanta, Georgia An arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $1.28 million to a group of individuals who were victims of a ponzi scheme…

Robert Rex, Esq.
August 12, 2015

Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry

Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 12, 2015 August 12, 2015

April 2018 Update-Berger pleads guilty to fraud. July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

Robert Rex, Esq.
August 12, 2015

Eight South Florida Individuals Charged with Securities Fraud Targeting Elderly

Eight South Florida Individuals Charged with Securities Fraud Targeting Elderly 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 August 12, 2015 August 12, 2015

July 27, 2015- Boca Raton, Florida The FBI announced today the indictment of eight individuals for participating in securities fraud involving Thought Development Inc., a Miami Beach based company claiming…

Robert Rex, Esq.
July 15, 2015

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 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 July 15, 2015 July 15, 2015

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…

Robert Rex, Esq.
July 14, 2015

North Carolina Securities Division July 2015 Newsletter

North Carolina Securities Division July 2015 Newsletter 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 July 14, 2015 July 14, 2015

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…

Robert Rex, Esq.
June 17, 2015

Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months

Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months 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 June 17, 2015 June 17, 2015

Staunton, Virginia Kirsten Flynn Hawkins, 45, pled guilty to wire fraud in January 2015, and in May 2015, was sentenced to 41 months in prison and ordered to pay restitution…

Robert Rex, Esq.
June 16, 2015

Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s

Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 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 June 16, 2015 June 16, 2015

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…