fbpx

LPS Partners

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX 150 150 Rex Securities Law

June 2017- Austin, TX According to publicly available records     John  J. Gorman IV  (CRD#1070636) ,  a  stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events,  2…

read more

Austin, Texas-Former WFG Broker Named In Regulatory Complaint

Austin, Texas-Former WFG Broker Named In Regulatory Complaint 150 150 Rex Securities Law

January 22, 2016- Austin, Texas Harvey B. Vaughn, Jr. was named in a disciplinary proceeding ( #2015045409001) filed ty the Financial Industry Regulatory Authority (FINRA) alleging that he willfully failed…

read more

This site is protected by wp-copyrightpro.com