stockbroker malpractice

RCS Capital Closes Deal on Acquisition of VSR Financial

RCS Capital Closes Deal on Acquisition of VSR Financial 150 150 Robert Rex, Esq.

March 5, 2015 RCS Capital Corporation announced that it closed the acquisition of VSR Group, Inc. and VSR Financial Services, Inc., which had been announced months ago. VSR Financial is based…

read more

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

Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine 150 150 Robert Rex, Esq.

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).…

read more

Gary Williky Named in Securities Fraud Action- Colleyville, Texas

Gary Williky Named in Securities Fraud Action- Colleyville, Texas 150 150 Robert Rex, Esq.

March 2, 2015-Colleyville, Texas The U.S. Securities & Exchange Commission (SEC) filed a complaint seeking an injunction alleging that Gary S. Williky of Colleyville, Texas perpetrated an illegal market manipulation and…

read more

Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators

Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators 150 150 Robert Rex, Esq.

February 27, 2015- Columbia, South Carolina The Securities Commissioner of the State of South Carolina has filed an Order to Cease and Desist against a Garland, Texas, Company and one…

read more

Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ

Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ 150 150 Robert Rex, Esq.

March 3, 2015  – Manasquan, NJ Harvey Herman Meldrum   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with BCG Securities,…

read more

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

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

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…

read more

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 2, 2015  – Willimantic, CT Tricia D. Willis   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she converted customer funds…

read more

Allan Roth of Tampa Arrested in Penny Stock Scam

Allan Roth of Tampa Arrested in Penny Stock Scam 150 150 Robert Rex, Esq.

February 27, 2015-Tampa, Florida The Florida Office of Financial Regulation (OFR) reports that Allan Roth, 57, was arrested on 34 charges of selling unregistered securities and 34 counts of selling securities…

read more

EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements

EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements 150 150 Robert Rex, Esq.

February 25, 2015 EDI Financial, Inc.   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company failed to adopt and implement…

read more

You cannot copy content of this page