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Rex Securities Law
April 7, 2016
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William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, TX

William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 7, 2016 January 31, 2019

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…

Rex Securities Law
April 6, 2016
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 6, 2016 April 6, 2016

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.…

Rex Securities Law
April 6, 2016
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 6, 2016 May 7, 2017

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…

Rex Securities Law
April 5, 2016
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HilltopSecurities Formed by Merger with First Southwest Company

HilltopSecurities Formed by Merger with First Southwest Company http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 5, 2016 April 5, 2016

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…

Rex Securities Law
April 4, 2016
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 4, 2016 January 8, 2017

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…

Rex Securities Law
April 4, 2016
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Mickey Long Investigation Update-VSR Financial-Plano, TX

Mickey Long Investigation Update-VSR Financial-Plano, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 4, 2016 April 4, 2016

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.…

Rex Securities Law
April 4, 2016
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Robert Hardcastle Investigation-VSR Financial Services Stockbroker

Robert Hardcastle Investigation-VSR Financial Services Stockbroker http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 4, 2016 September 27, 2016

Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle in connection with the sale of fixed annuities, mutual funds, equities, limited partnerships, direct investments in oil & gas, and…

Rex Securities Law
April 4, 2016
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Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire Fraud

Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire Fraud http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 4, 2016 April 17, 2016

April 1, 2016 Candace B. McLeod, 32, of Holt, FL, was sentenced to 75 months in Federal prison according to a release from the US Department of Justice. McLeod had…

Rex Securities Law
April 4, 2016
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Dion Padilla Investigation-NEXT FInancial Group Stockbroker-San Antonio,TX

Dion Padilla Investigation-NEXT FInancial Group Stockbroker-San Antonio,TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 4, 2016 May 18, 2019

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-April 4, 2016-San Antonio, Texas According to their website, The Financial Industry Regulatory Authority (FINRA),…