exploitation of seniors

  • Robert Rex, Esq.

Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s
Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 150 150 Robert Rex, Esq.

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…

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  • Robert Rex, Esq.

Losses on Cushing Royalty & Income Fund ??
Losses on Cushing Royalty & Income Fund ?? 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

North Carolina Securities Regulators Pursuing Securities Fraudsters
North Carolina Securities Regulators Pursuing Securities Fraudsters 150 150 Robert Rex, Esq.

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,…

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  • Robert Rex, Esq.

North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters
North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Investment Fraud Workshop Set for June 15, Salina Public Library
Investment Fraud Workshop Set for June 15, Salina Public Library 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments
RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments 150 150 Robert Rex, Esq.

April 23, 2015 RBC Capital Markets ,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from 2008 through 2012 the firm…

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  • Robert Rex, Esq.

Phil Williamson Charged in South Florida Securities Fraud
Phil Williamson Charged in South Florida Securities Fraud 150 150 Robert Rex, Esq.

June 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…

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  • Robert Rex, Esq.

Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals
Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals 150 150 Robert Rex, Esq.

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…

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