elder financial abuse by stockbroker Archives

Robert Rex, Esq.
August 27, 2015

Dennis Flood of Medina County Ohio Sentenced For Insurance Scam

Dennis Flood of Medina County Ohio Sentenced For Insurance 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 August 27, 2015 August 27, 2015

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…

Robert Rex, Esq.
August 10, 2015

South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015

South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 10, 2015 August 10, 2015

August 10, 2015-Darlington, South Carolina The South Carolina Office of the Attorney General, Securities Division is hosting a public investor education seminar at noon, Wednesday, August 19th, 2015. Topics to…

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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?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.
June 15, 2015

Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? 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 15, 2015 June 15, 2015

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

Robert Rex, Esq.
June 10, 2015

North Carolina Securities Regulators Pursuing Securities Fraudsters

North Carolina Securities Regulators Pursuing Securities Fraudsters 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 10, 2015 June 10, 2015

June 2015 In the June 2015 Newsletter the North Carolina Securities Division announced their involvement in the following cases: Darren Joseph Capote, of Patterson, NY, was indicted on July 11,…

Robert Rex, Esq.
June 10, 2015

North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters

North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters 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 10, 2015 June 10, 2015

June 2015-NC Securities Division The North Carolina Securities Division‘s June 2015 Newsletter announced the sentencing of the following individuals for securities related violations: Michael Anthony Jenkins pleaded guilty to three…

Robert Rex, Esq.
June 8, 2015

Investment Fraud Workshop Set for June 15, Salina Public Library

Investment Fraud Workshop Set for June 15, Salina Public Library 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 8, 2015 June 8, 2015

A free workshop discussing the tactics and schemes of fraudsters and scammers will be held on June 15, 2015, from 12:45-1:45pm at the Salina Public Library in the Prescott Meeting…

Robert Rex, Esq.
June 4, 2015

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds 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 4, 2015 June 4, 2015

April 28, 2015-Boca Raton, FL Richard Winsor Ohrn , was named in an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

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.
March 21, 2015

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens 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 21, 2015 March 21, 2015

March 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…

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