Fraud Archives

Robert Rex, Esq.
October 31, 2018

Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA

Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA 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 October 31, 2018 October 31, 2018

September 2021- Lafayette, LA The FINRA records of Wesley Kyle Perkins , a former stock broker who is not currently registered and who was last employed by Purshe Kaplan Sterling Investments , disclose that he is…

Robert Rex, Esq.
October 30, 2018

How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX

How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX 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 October 30, 2018 October 30, 2018

October 2018- The SEC has charged Houston based Behavioral Recognition Systems (now known as Giant Gray) and its CEO Ray C. Davis with soliciting over $28 million from investors and…

Robert Rex, Esq.
October 30, 2018

Holly Maurer- Corecap Investments Broker-Discloses Settlement of Several Customer Disputes-Southfield, MI

Holly Maurer- Corecap Investments Broker-Discloses Settlement of Several Customer Disputes-Southfield, MI 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 October 30, 2018 October 30, 2018

October 2017 – Southfield, MI According to publicly available records Holly M. Maurer (CRD#2764991) , a stockbroker who is registered with Corecap Investments , disclose 5 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

Robert Rex, Esq.
August 31, 2018

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL 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 August 31, 2018 August 31, 2018

March 2019 – Coral Gables, FL According to FINRA records, Alex Gerardo Herrera, a former stockbroker who last worked for USB Financial Services, discloses 2 prior regulatory events , a current customer dispute…

Robert Rex, Esq.
August 19, 2018

Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon

Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon 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 August 19, 2018 August 19, 2018

August 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon, against American Independent Securities Group…

Robert Rex, Esq.
August 17, 2018

Dwaine Caraway Pleads Guilty to Federal Corruption Charges-Resigns From Council-Dallas, TX

Dwaine Caraway Pleads Guilty to Federal Corruption Charges-Resigns From Council-Dallas, TX 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 August 17, 2018 August 17, 2018

August 2018-Dallas, Texas The Dallas Morning News reports that Dallas Mayor Pro Tem Dwaine Caraway has pleaded guilty to federal corruption charges filed in Dallas federal court last week. Caraway,…

Robert Rex, Esq.
August 13, 2018

John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI

John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI 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 August 13, 2018 August 13, 2018

August 2018-Birmingham, Michigan The FINRA records of John C. Maccoll, a stock broker who was last employed by UBS Financial Services , disclose that he was recently discharged by UBS after failing to cooperate…

Robert Rex, Esq.
July 24, 2018

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA 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 24, 2018 July 24, 2018

July 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…

Robert Rex, Esq.
May 30, 2018

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island 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 May 30, 2018 May 30, 2018

November 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…

Robert Rex, Esq.
May 17, 2018

Daniel H. Morris-Former Oppenheimer Broker-Discloses Customer Suit-Westport, CT

Daniel H. Morris-Former Oppenheimer Broker-Discloses Customer Suit-Westport, CT 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 May 17, 2018 May 17, 2018

January 2020-Westport, CT The FINRA records of Daniel H. Morris, a stockbroker who was formerly employed by Oppenheimer and Co. disclose prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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