securities attorney Archives

Robert Rex, Esq.
April 13, 2015

Colleyville Texas Man Convicted in Wind Farm Investment Scam

Colleyville Texas Man Convicted in Wind Farm Investment 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 April 13, 2015 April 13, 2015

April 8, 2015- Dallas, Texas David Lyman Spalding of Colleyville, Texas was convicted by a federal jury on wire fraud, mail fraud and making false statements in connection with a…

Robert Rex, Esq.
April 9, 2015

Gastonia Resident Charged with Securities Fraud by North Carolina Regulators

Gastonia Resident Charged with Securities Fraud by North Carolina 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 April 9, 2015 April 9, 2015

March 12, 2015-North Carolina The North Carolina Securities Division of the Department of the Secretary of State announced that Micah Christopher Wilson, 59, of Gastonia was charged with felony securities…

Robert Rex, Esq.
April 8, 2015

Stafford Maxwell -Mableton Georgia CEO of Millenium Capital Exchange-Arrested for Ponzi Scheme

Stafford Maxwell -Mableton Georgia CEO of Millenium Capital Exchange-Arrested for Ponzi 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 April 8, 2015 April 8, 2015

April 3, 2015- Atlanta Stafford S. Maxwell, 46, of Mableton, Georgia, was arraigned on charges of orchestrating a multi-million dollar Ponzi scheme involving the foreign exchange market through his company…

Robert Rex, Esq.
April 6, 2015

Montana Man Sentenced in Pump/Dump Penny Stock Scam

Montana Man Sentenced in Pump/Dump 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 April 6, 2015 April 6, 2015

April 3, 2015 The FBI announced that Matthew Carley, of Bozeman, Montana, was sentenced to 24 months in prison for his role in a stock manipulation scheme involving Ashburn, Virginia,…

Robert Rex, Esq.
April 6, 2015

Financial Agent Defrauds Elderly New Jersey Investor has Registration Revoked

Financial Agent Defrauds Elderly New Jersey Investor has Registration Revoked 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 6, 2015 April 6, 2015

April 2, 2015 The registration of Ronald Paul Rafaloff of the Bronx had his registration revoked by the New Jersey Bureau of Securities and ordered him to pay $200,000 in…

Robert Rex, Esq.
April 6, 2015

Former Church Pastor Wesley Allen Brown Charged with Fraud by CFTC

Former Church Pastor Wesley Allen Brown Charged with Fraud by CFTC 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 6, 2015 April 6, 2015

March 31,2015 The U.S. Commodity Futures Trading Commission (CFTC) file a civil enforcement action in the District Court for the Middle District of Florida against Maverick International and principals Wesley…

Robert Rex, Esq.
March 19, 2015

Girard Securities Acquisition Closed by RCS Capital Group

Girard Securities Acquisition Closed by RCS Capital Group 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 19, 2015 March 19, 2015

March 12, 2015 RCS Capital Corporation announced that it closed the acquisition of Girard Securities. Girard Securities has over $10 billion of assets and 250 financial advisors. They become a part of the Cetera…

Robert Rex, Esq.
March 19, 2015

Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine

Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine 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 19, 2015 March 19, 2015

March 11, 2015- A default judgment was entered against former Pompano Beach, FL, lawyer Guy Jean-Pierre (aka Marcelo Dominguez de Guerra) in favor of the Securities and Exchange Commission (SEC).…

Robert Rex, Esq.
March 5, 2015

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities 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 March 5, 2015 March 5, 2015

March 3, 2015 – Watertown, NY Brian Scott Exford entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

Robert Rex, Esq.
March 4, 2015

Tarpon Springs Florida Man Arrested for Securities Fraud

Tarpon Springs Florida Man 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 March 4, 2015 March 4, 2015

March 3, 2015- Tallahassee, Florida The Florida Office of Financial Regulation (OFR) announced that John Edward Simpson was arrested in Tarpon Springs, Florida, and has been charged with securities fraud,…

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