stockbroker malpractice

  • Robert Rex, Esq.

Colleyville Texas Man Convicted in Wind Farm Investment Scam
Colleyville Texas Man Convicted in Wind Farm Investment Scam 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator
Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator 150 150 Robert Rex, Esq.

April 9, 2015-Boca Raton, FL The Securities and Exchange Commission (SEC) announced the filing of fraud charges against the operators of a microcap/boiler room scheme in South Florida. Three of…

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  • Robert Rex, Esq.

Affinity Fraud-Church Members Targeted by California Insurance Agent
Affinity Fraud-Church Members Targeted by California Insurance Agent 150 150 Robert Rex, Esq.

April 13, 2015 The Insurance Journal reports that Constance Gail Fortune, 61, was arraigned in Los Angeles Superior Court and charged with felony for financial elder abuse as a result…

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  • Robert Rex, Esq.

Gastonia Resident Charged with Securities Fraud by North Carolina Regulators
Gastonia Resident Charged with Securities Fraud by North Carolina Regulators 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Financial Agent Defrauds Elderly New Jersey Investor has Registration Revoked
Financial Agent Defrauds Elderly New Jersey Investor has Registration Revoked 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Dallas Based Worth Financial Group Sanctioned by Securities Regulator
Dallas Based Worth Financial Group Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

January 9, 2015 Worth Financial Group  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  it failed to establish adequate supervisory…

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  • Robert Rex, Esq.

David Harari-San Antonio Stock Broker Sanctioned by Regulator
David Harari-San Antonio Stock Broker Sanctioned by Regulator 150 150 Robert Rex, Esq.

March 9, 2015- San Antonio, Texas  The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

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  • Robert Rex, Esq.

Texans Sentenced in Mortgage Fraud Conspiracy in East Texas
Texans Sentenced in Mortgage Fraud Conspiracy in East Texas 150 150 Robert Rex, Esq.

March 17, 2015-Plano, Texas The FBI, Dallas Division, announced that five defendants have been sentenced for their roles in a mortgage fraud conspiracy in a hearing before U.S. District Judge…

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