avoid investment scams Archives

Robert Rex, Esq.
November 12, 2015

Signator Investors Fined $450,000 for Inadequate Supervisory Procedures

Signator Investors Fined $450,000 for Inadequate Supervisory Procedures 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 November 12, 2015 November 12, 2015

August 13, 2015- Loudon, Tennessee/ Boston, MA Signator Investors, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

Robert Rex, Esq.
November 11, 2015

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator

Joseph Charles Schroeder-Wunderlich Securities 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 11, 2015 November 11, 2015

July 10, 2015- Dallas, Texas Joseph Charles Schroeder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

Robert Rex, Esq.
November 11, 2015

First Southwest Company Sanctioned by Securities Regulators

First Southwest Company Sanctioned by Securities 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 11, 2015 November 11, 2015

First Southwest Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…

Robert Rex, Esq.
November 10, 2015

Bonham Texas Man Sentenced for Currency Trading Scheme

Bonham Texas Man Sentenced for Currency Trading 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 10, 2015 November 10, 2015

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…

Robert Rex, Esq.
November 10, 2015

Florida Fraudsters Sentenced In Connection with Factoring Scheme

Florida Fraudsters Sentenced In Connection with Factoring 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 10, 2015 November 10, 2015

November 5, 2015- Orlando, Florida The FBI announced that Brian Newton , age 58, of New Smyrna Beach, FL, was sentenced to 15 years and 8 months and his co-defendant…

Robert Rex, Esq.
November 10, 2015

The Villages Is Subject of Study on Elder Financial Fraud

The Villages Is Subject of Study on Elder Financial 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 November 10, 2015 November 10, 2015

November 9, 2015- The Villages, Florida Florida State University College of Criminology and Criminal Justice in partnership with Merrill Lynch & Seniors vs. Crime is conducting research on elder financial…

Robert Rex, Esq.
September 21, 2015

FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments

FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments 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 September 21, 2015 September 21, 2015

September 21 2015- Washington DC First Eagle Investment Management and FEF Distributors was charged by the US Securities and Exchange Commission with improperly using mutual fund assets to pay for…

Robert Rex, Esq.
September 20, 2015

South Florida Men Named in Alleged Commodities Scam by Regulators

South Florida Men Named in Alleged Commodities Scam by 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 20, 2015 September 20, 2015

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…

Robert Rex, Esq.
September 18, 2015

FBI Seeks Jean Chauvel In Connection With Florida-Based Commodity Trading Fraud

FBI Seeks Jean Chauvel In Connection With Florida-Based Commodity Trading 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 September 18, 2015 September 18, 2015

September 16, 2015- Miami, FL The FBI announced that they area seeking information that will lead to the arrest of Jean Chauvel who is wanted in connection with a Florida…

Robert Rex, Esq.
September 16, 2015

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 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 September 16, 2015 September 16, 2015

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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