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texas securities attorney

E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies
E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies 150 150 Rex Securities Law

June 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…

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Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV
Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV 150 150 Rex Securities Law

August19, 2015, Jack Allen Scherbert , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for on…

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Dallas Attorney Sentenced for Investor Fraud in Nue Vodka/Vanguard Vodka Scam
Dallas Attorney Sentenced for Investor Fraud in Nue Vodka/Vanguard Vodka Scam 150 150 Rex Securities Law

August 19, 2015- Dallas, Texas Andrew Lee Siegel, 56, a Dallas attorney pleaded guilty to felony offenses involving copyright infringement and investor fraud and was sentenced by US District Judge…

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Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000
Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000 150 150 Rex Securities Law

August 18, 2015-Austin, Texas John Morgan, Texas Securities Commissioner entered a Consent Order finding that Citigroup Global Markets, Inc. failed to monitor the registration status of sales assistants, some of…

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JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest
JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest 150 150 Rex Securities Law

August 17, 2015, JMP Securities LLC,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010 through…

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Austin Antique Dealer Indicted on Securities Fraud–A $21 Million Dollar Silver Set?
Austin Antique Dealer Indicted on Securities Fraud–A $21 Million Dollar Silver Set? 150 150 Rex Securities Law

August 4, 2015-Austin, TX According to the Texas State Securities Board, antique dealer Rose Marie O’Reilly was indicted in U.S. District Court for defrauding investors in flamboyant schemes to acquire…

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Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach
Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach 150 150 Rex Securities Law

August 12, 2015 VCA Securities LP,   (formerly Bluffview Securities) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show
Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show 150 150 Rex Securities Law

August 4, 2015 Daniel Levin, of Dallas, TX ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

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Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement
Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement 150 150 Rex Securities Law

August 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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