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Monthly Archives :

April 2016

Bruce Meyers Investigation-Meyers Associates, LP
Bruce Meyers Investigation-Meyers Associates, LP 150 150 Rex Securities Law

UPDATE-April 2017 The FINRA records of Bruce Meyers, a currently unregistered stock broker who formerly worked for  Meyers Associates,  now report 19 disclosure events, including 1 pending and 7 final regulatory events, 2…

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Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension
Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension 150 150 Rex Securities Law

May 2017-Newton, PA The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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Neal Scott-Former Euro Pacific Capital Broker Named in Customer Arbitration
Neal Scott-Former Euro Pacific Capital Broker Named in Customer Arbitration 150 150 Rex Securities Law

April 7, 2016-New York, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer…

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William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, TX
William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, TX 150 150 Rex Securities Law

JANUARY 2019 UPDATE– See this for more. April 7, 2016- Houston, TX FINRA records report that former UBS Financial Services stockbroker William A. Hightower is named in a currently pending arbitration…

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EDI Financial in El Paso, Texas Ordered to Pay Customer $273K
EDI Financial in El Paso, Texas Ordered to Pay Customer $273K 150 150 Rex Securities Law

January 19, 2016-El Paso, Texas A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered stock brokerage firm EDI Financial, Inc. to pay a customer $273,606 in damages and attorney fees.…

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Terry Joe Bagwell – Former Pruco Securities Broker-Discloses Numerous Customer Dispute Settlements-Birmingham, Alabama
Terry Joe Bagwell – Former Pruco Securities Broker-Discloses Numerous Customer Dispute Settlements-Birmingham, Alabama 150 150 Rex Securities Law

 Birmingham, Alabama UPDATE MAY 2017 FINRA records disclose that Terry Joe Bagwell has 3 currently pending and 11 prior final customer disputes.  Bagwell is not currently registered as a stockbroker. He…

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HilltopSecurities Formed by Merger with First Southwest Company
HilltopSecurities Formed by Merger with First Southwest Company 150 150 Rex Securities Law

January 25, 2016-Dallas, Texas Hilltop Holdings, Inc. (NYSE:HTH) announced the merger of its broker dealer subsidiaries First Southwest Company, LLC and Hilltop Securities, Inc. (formerly Southwest Securities). The combined firm…

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Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, FL
Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, FL 150 150 Rex Securities Law

UPDATE-September 2016– SII Investments was found liable for negligence, unsuitability and breach of fiduciary duty and ordered to pay damages in the amount of $19,634 plus interest in FINRA Case…

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Mickey Long Investigation Update-VSR Financial-Plano, TX
Mickey Long Investigation Update-VSR Financial-Plano, TX 150 150 Rex Securities Law

Plano, Texas Rex Securities Law is investigating VSR Financial Services broker M. F. (Mickey)  Long  in connection with the sale of fixed annuities,  limited partnerships, direct investments in oil & gas,  and real estate securities.…

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