stockbroker malpractice Archives

Robert Rex, Esq.
March 7, 2016

Securities America Fined $250,000 by Regulators- Coral Springs, FL

Securities America Fined $250,000 by Regulators- Coral Springs, FL 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 7, 2016 March 7, 2016

February 23, 2016- Coral Springs, FL Securities America entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2009 through…

Robert Rex, Esq.
March 7, 2016

Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL

Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL 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 7, 2016 March 7, 2016

February 23, 2016- Coral Springs, FL Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between February 2009 and…

Robert Rex, Esq.
March 7, 2016

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 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 7, 2016 March 7, 2016

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

Robert Rex, Esq.
March 7, 2016

Stock Broker Sanctioned for Sale of GWG Debentures to Retirees

Stock Broker Sanctioned for Sale of GWG Debentures to Retirees 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 7, 2016 March 7, 2016

February 29, 2016- Phoenix, AZ The Financial Industry Regulatory Authority (FINRA) barred Phoenix based broker David Joseph Escarcega for making unsuitable recommendations involving debentures to customers, many of whom were…

Robert Rex, Esq.
March 7, 2016

Hillsboro Beach Florida Man Pleads Guilty to Conspiracy to Commit Wire and Mail Fraud

Hillsboro Beach Florida Man Pleads Guilty to Conspiracy to Commit Wire and Mail 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 7, 2016 March 7, 2016

February 29, 2016- Miami, Florida The Sun Sentinel reports that Thomas A. Guerriero, 39, of Hillsboro Beach, FL, pleaded guilty to one count of conspiring to commit mail and wire…

Robert Rex, Esq.
February 24, 2016

Dallas Financial Adviser Fined for Failure to Register with Texas State Securities Board

Dallas Financial Adviser Fined for Failure to Register with Texas State Securities Board 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 February 24, 2016 February 24, 2016

February 24, 2016- Dallas, Texas The Texas State Securities Board (TSSB) has reprimanded and fined Donald Lee Laseter $15,000 for acting as an investment adviser when he was not registered…

Robert Rex, Esq.
February 24, 2016

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints 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 February 24, 2016 February 24, 2016

Scotrun, PA UPDATE January 2020– Anthony Diaz discloses a total of 50 customer complaints, 3 of which are still pending. UPDATE APRIL 2017-The New Jersey Bureau of Securities revoked Anthony…

Robert Rex, Esq.
February 24, 2016

David McQueen’s Conviction/30 Year Sentence on Ponzi Scheme Upheld

David McQueen’s Conviction/30 Year Sentence on Ponzi Scheme Upheld 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 February 24, 2016 February 24, 2016

1/21/2016- Grand Rapids, MI David McQueen‘s conviction and 30 year prison sentence for mail fraud, money laundering and tax charges was upheld by the Sixth Circuit Court of Appeals in Cincinnati.…

Robert Rex, Esq.
February 23, 2016

Mexican Man Convicted in El Paso, TX, on $15M Investment Fraud

Mexican Man Convicted in El Paso, TX, on $15M Investment 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 February 23, 2016 February 23, 2016

February 23, 2016- El Paso, Texas CBS 7 reports that Mexican businessman Roberto Trinidad Del Carpio Frescas of Chihuahua was convicted by a federal jury on 24 counts of wire…

Robert Rex, Esq.
February 23, 2016

Larry & Dixie Masino Convicted in Bingo Related Fraud Scheme-Fort Walton Beach, FL

Larry & Dixie Masino Convicted in Bingo Related Fraud Scheme-Fort Walton Beach, FL 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 February 23, 2016 February 23, 2016

UPDATE FEBRUARY 2018-The Pensacola News Journal reports that Larry Masino and Dixie Masino were convicted of wire fraud conspiracy, operating an illegal gambling business and money laundering conspiracy. According to…

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