Stockbroker Malpractice Archives

Robert Rex, Esq.
June 1, 2015

Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals

Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals 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-Murphy, Texas The Securities and Exchange Commission sued Sameer Praveen Sethi and his company Sethi Petroleum alleging that since January 2014, Sethi and his company raise $4…

Robert Rex, Esq.
April 23, 2015

ForceField Energy Stock Trading Suspended-CEO Arrested for Securities Fraud

ForceField Energy Stock Trading Suspended-CEO 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 23, 2015 April 23, 2015

April 21, 2015- The Securities and Exchange Commission (SEC) suspended trading in the securities of ForceField Energy, Inc. (FNRG) until May 5th due to concerns about the adequacy and accuracy…

Robert Rex, Esq.
April 23, 2015

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission 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 April 23, 2015 April 23, 2015

April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates, for ten days for exercising discretion in a client account…

Robert Rex, Esq.
April 16, 2015

Phony Texas Financial Advisor Named by SEC For Scamming Military and Veterans

Phony Texas Financial Advisor Named by SEC For Scamming Military and Veterans 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 April 16, 2015 April 16, 2015

April 14, 2015-Fort Hood, Texas Leroy Brown, Jr. was named in a complaint filed by the Securities and Exchange Commission (SEC) alleging fraud and accusing Brown of telling false tales…

Robert Rex, Esq.
April 16, 2015

Former PrimeSolutions Securities Broker Named in Suit By SEC

Former PrimeSolutions Securities Broker Named in Suit By SEC 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 April 16, 2015 April 16, 2015

Richfield, Ohio-April 15, 2015 Jerry A. Cicolani, 51, was charged in a criminal information with selling unregistered securities in KGTA Petroleum, Ltd., causing dozens of investors to lose over $7…

Robert Rex, Esq.
April 14, 2015

Florida Stockbroker Lost While Fishing at Sea Staged Disappearance

Florida Stockbroker Lost While Fishing at Sea Staged Disappearance 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 April 14, 2015 April 14, 2015

April 13, 2015- Boca Raton, FL The Sun Sentinel reports that Richard Ohrn, 44, a former local stock broker who disappeared while fishing in the Atlantic ocean a few weeks back, has…

Robert Rex, Esq.
April 10, 2015

Douglas Dannhardt-Former Prospera Financial Broker- Sanctioned for Churning Accounts-San Antonio, TX

Douglas Dannhardt-Former Prospera Financial Broker- Sanctioned for Churning Accounts-San Antonio, 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 April 10, 2015 April 10, 2015

April 2, 2015-San Antonio, Texas FINRA records report that Douglas Joseph Dannhardt entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?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 4, 2015

Allan Roth of Tampa Arrested in Penny Stock Scam

Allan Roth of Tampa Arrested in 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 4, 2015 March 4, 2015

February 27, 2015-Tampa, Florida The Florida Office of Financial Regulation (OFR) reports that Allan Roth, 57, was arrested on 34 charges of selling unregistered securities and 34 counts of selling securities…

Featured Investigations