stockbroker negligence Archives

Robert Rex, Esq.
June 17, 2015

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 17, 2015 June 17, 2015

June 2, 2015-Boca Raton, FL David James LeDoux , entered into a Letter of Acceptance Waive and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

Robert Rex, Esq.
June 12, 2015

Global Arena Capital -FINRA Cancels Registraion

Global Arena Capital -FINRA Cancels Registraion https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 12, 2015 June 12, 2015

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees. The company…

Robert Rex, Esq.
June 12, 2015

Greenbacker Renewable Energy Company Investigation

Greenbacker Renewable Energy Company Investigation https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 12, 2015 June 12, 2015

Greenback Renewable Energy is a publicly registered, non-traded limited liability company formed to acquire, construct and operate income-generating renewable energy projects primarily within North America. While the company has made…

Robert Rex, Esq.
June 4, 2015

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 4, 2015 June 4, 2015

April 23, 2015 RBC Capital Markets , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2008 through 2012 the firm…

Robert Rex, Esq.
June 1, 2015

Fourth Person Found Guilty in Kentucky Oil Investment Scheme

Fourth Person Found Guilty in Kentucky Oil Investment 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 1, 2015 June 1, 2015

June 1, 2015 Henry Irving Ramer was found guilty by a federal jury of operating a multi-mllion dollar investment scheme in which over 200 investors nationwide lost all or nearly…

Robert Rex, Esq.
April 21, 2015

Convicted Irving Texas “Salad Bowl” Fraudster Pleads Guilty to Failure to Surrender

Convicted Irving Texas “Salad Bowl” Fraudster Pleads Guilty to Failure to Surrender https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 21, 2015 February 19, 2024

March 17,2015-Irving Texas The FBI announced that Michael David Carroll, 39, pleaded guilty to the federal offense of failing to surrender to serve a 70 month sentence in an investor…

Robert Rex, Esq.
April 13, 2015

Affinity Fraud-Church Members Targeted by California Insurance Agent

Affinity Fraud-Church Members Targeted by California Insurance Agent https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 13, 2015 October 4, 2023

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…

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/fdf83cd1ed57a0f07270ad756fbea2eb?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.
March 27, 2015

Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royalties

Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royalties https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2015 March 27, 2015

March 25, 2015-Austin, TX John Morgan, Securities Commissioner for the State of Texas, entered an Emergency Cease and Desist Order against Lonestar Mineral Assets or Dallas and Colleyville, TX, and its…