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texas securities attorney

National Planning Corp. Fined by Regulators for Excessive Sales Charges
National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals
Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals 150 150 Rex Securities Law

October 26, 2015- Austin, Texas U.S. Magistrate Mark Lane entered a final judgment in favor of the SEC against four money managers who promoted scam investments in oil and gas…

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San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by Regulator
San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by Regulator 150 150 Rex Securities Law

August 26, 2015- San Antonio, Texas Braymen, Lambert and Noel Securities (BLNS)  and Shannon Braymen  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory…

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Plano Based Red River Securities & Brian Hardwick Named In Securities Complaint
Plano Based Red River Securities & Brian Hardwick Named In Securities Complaint 150 150 Rex Securities Law

July 27, 2015- Plano, Texas The Financial Industry Regulatory Authority (FINRA) filed a complaint against Plano based Red River Securities and Brian Keith Hardwick alleging that they violated the Securities…

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Former Advisors Asset Management (AAM) Broker in San Antonio Sanctioned by Securities Regulator
Former Advisors Asset Management (AAM) Broker in San Antonio Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 20, 2015- San Antonio, Texas Andrew Joseph Thomas ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator
Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator 150 150 Rex Securities Law

July 10, 2015- Dallas, Texas Joseph Charles Schroeder ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

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Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators
Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators 150 150 Rex Securities Law

July 2,  2015- San Antonio, Texas Emily A. Pena ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal…

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Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry
Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry 150 150 Rex Securities Law

July 9 , 2015- Plano, Texas Dylan Patrick Grayson ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

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Austin Based NFP Advisor Services Fined $500K by Securities Regulators
Austin Based NFP Advisor Services Fined $500K by Securities Regulators 150 150 Rex Securities Law

July 16, 2015- Dallas Texas NFP Advisor Services ( formerly NFP Securities, Inc.)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to…

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