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texas securities attorney

Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY

Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY 150 150 ER

Sean Storm Boswick Investigation   June  2023-New York, NY The FINRA records of Sean “Storm” Boswick,  a former stock broker who was last employed in the industry by Brock Securities , disclose…

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Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas

Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas 150 150 ER

Crescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…

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Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA

Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA 150 150 Rex Securities Law

Oppenheimer Hit with $36M Arbitration Award   Attempt to Have It Set Aside Fails   June 2023 – Atlanta, GA  In September 2022 a FINRA arbitration panel awarded  $36 million…

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Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA

Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA 150 150 ER

Gina Rea Kidd Investigation Misrepresented Insurance Policy Benefits June 2023-Bedford, VA According to publicly available records Gina Rea Kidd a currently unregistered broker who last worked for Allstate Financial Services,  discloses…

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Texas Securities Regulator Fines Robinhood Financial For System Outages & Faulty Supervision-Austin, TX

Texas Securities Regulator Fines Robinhood Financial For System Outages & Faulty Supervision-Austin, TX 150 150 Rex Securities Law

Robinhood Financial Sanctioned by Texas Securities Regulator  Austin, TX-June 2023 The Texas State Securities Board (TSSB) entered into a Consent Order with Robinhood Financial LLC, a registered broker dealer headquartered…

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Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL

Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL 150 150 ER

Clinton Byrd Investigation June  2023-Tallahassee, FL According to publicly available records Clinton Byrd, a broker previous employed by  Cantella & Co., discloses a regulatory suspension, settlement of a  customer dispute and…

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John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL

John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL 150 150 ER

John “JC” Carroll Investigation June  2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by  Vanderbilt Securities,  discloses a final regulatory matter…

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Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX

Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX 150 150 ER

Kenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…

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Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL

Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL 150 150 ER

Alexandra Smith Investigation June 2023-St. Petersburg, FL The FINRA records of Alexandra Smith  ,  a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2…

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