Brian Berger Facing Wire Fraud Charges-Coral Springs, FL

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL 150 150 Robert Rex, Esq.

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

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Lantana Florida Broker Sanctioned by Securities Regulator

Lantana Florida Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 13, 2015- Lantana, Florida Ingrid M. Batchelor ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she  engaged…

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Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators

Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators 150 150 Robert Rex, Esq.

July 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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Kuhns Brothers Securities Broker Sanctioned by FINRA

Kuhns Brothers Securities Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 15, 2015- Jeffrey Howard Auerbach ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…

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Transamerica Financial Advisors Sanctioned by Securities Regulators

Transamerica Financial Advisors Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

July 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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Florida Fraudsters Sentenced In Connection with Factoring Scheme

Florida Fraudsters Sentenced In Connection with Factoring Scheme 150 150 Robert Rex, Esq.

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…

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Tampa Man Sentenced to 18 Months for Securities Fraud

Tampa Man Sentenced to 18 Months for Securities Fraud 150 150 Robert Rex, Esq.

November 4, 2015- Tampa, Florida The FBI announced that Gignesh Movalia was sentenced to 18 months in prison for operating a $9 million investment fraud scheme involving Facebook stock. Movalia…

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Michael Collins of Alice, Texas, Indicted for Securities Fraud

Michael Collins of Alice, Texas, Indicted for Securities Fraud 150 150 Robert Rex, Esq.

October 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…

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The Villages Is Subject of Study on Elder Financial Fraud

The Villages Is Subject of Study on Elder Financial Fraud 150 150 Robert Rex, Esq.

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…

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Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes

Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

UPDATE DECEMBER 2016–FINRA records indicate that Robert M. Hinz, Jr. left VSR Financial Services in July 2016 and is not currently registered with any FINRA broker dealer. ORIGINAL POST – Seatlle,…

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