Bonham Texas Man Sentenced for Currency Trading Scheme

Bonham Texas Man Sentenced for Currency Trading Scheme 150 150 Robert Rex, Esq.

November 6, 2015- Sherman, Texas The FBI announced that Frank Edwin Pate, 47, of Bonham, Texas, was sentenced to 210 months in prison for operating a currency trading scheme. He…

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South Florida Men Named in Alleged Commodities Scam by Regulators

South Florida Men Named in Alleged Commodities Scam by Regulators 150 150 Robert Rex, Esq.

September 17, 2015 The U S Commodity Futures Trading Commission (CFTC) announced  the filing of an enforcement action in US District Court for the Southern District of Florida against: Mintco…

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Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator 150 150 Robert Rex, Esq.

September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…

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Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering

Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering 150 150 Robert Rex, Esq.

September 3, 2015- Boca Raton/Plantation, Florida The Securities and Exchange Commission announced that Manny J. Shulman and David K. Herschman were charged with violating the securities laws for their involvement…

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Dennis Flood of Medina County Ohio Sentenced For Insurance Scam

Dennis Flood of Medina County Ohio Sentenced For Insurance Scam 150 150 Robert Rex, Esq.

August 26, 2015- Cleveland, Ohio Cleveland.com reports that Dennis Flood, 64, of Brunswick, Ohio, pleaded guilty to engaging in a pattern of corrupt activity and aggravated theft for stealing  from…

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Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud

Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud 150 150 Robert Rex, Esq.

August 10, 2015-New Hampshire Richard M. Higgins, of Stratham, New Hampshire was sentenced in Merrimack County Superior Court to serve 5 to 14 years after pleading guilty to one felony…

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Tampa Man Pleads Guilty In Facebook Pre-IPO Scam

Tampa Man Pleads Guilty In Facebook Pre-IPO Scam 150 150 Robert Rex, Esq.

August 13, 2015-Tampa, Florida The FBI announced that Gignesh Movalia, 40, of Tampa, pleaded guilty to one could of investment advisor fraud in connection with his operation of the OM…

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Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show 150 150 Robert Rex, Esq.

August 4, 2015 Daniel Levin, of Dallas, TX ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

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Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer

Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer 150 150 Robert Rex, Esq.

August 4, 2015 Patrick Landon Garrett, of Franklin, TN ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he verbally…

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Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement

Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement 150 150 Robert Rex, Esq.

August 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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