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texas securities attorney

Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator
Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator 150 150 Rex Securities Law

August 6, 2015 Steven P. Goldberg  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000…

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Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator
Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 30, 2015 Malcolm Jamal Babin  of Baton Rouge, LA , 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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Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator
Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 20, 2015 Andrew Joseph Thomas  of Boerne, Texas, 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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Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX
Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX 150 150 Rex Securities Law

DECEMBER 2016 UPDATE-Richardson, Texas In an Extended Hearing Panel Decision, FINRA expelled Texas E&P Partners for providing a falsified document to FINRA during an investigation. Mark Plummer, its CEO, was…

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Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX
Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX 150 150 Rex Securities Law

August 3, 2015-Hoiuston, Texas Frederick Alan Voight of Richmond, Texas, was charged by the Securities and Exchange Commission with defrauding over 300 investors in a $114 million Ponzi scheme. Investors…

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Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio
Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio 150 150 Rex Securities Law

San Antonio, Texas August 6, 2015 KENS 5 Eyewitness News of San Antonio reports that Jeremy James McGilvrey claimed in an interview last month that he has paid restitution to…

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TD Ameritrade Fined $300,000 by Texas Securities Regulators
TD Ameritrade Fined $300,000 by Texas Securities Regulators 150 150 Rex Securities Law

July 28, 2015 TD Ameritrade agreed to pay $300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…

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James Warr of Austin Sentenced to 15 Years for Fraud
James Warr of Austin Sentenced to 15 Years for Fraud 150 150 Rex Securities Law

January 2018 Update-James E. Warr was convicted of Texas securities fraud and other felonies, including money laundering, and sentenced to 15 years in prison. July 16, 2015-Austin, Texas James Elton…

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Former Lowell and Company Broker From Lubbock Sanctioned by Regulators
Former Lowell and Company Broker From Lubbock Sanctioned by Regulators 150 150 Rex Securities Law

July 10, 2015-Lubbock, TX Jeffery Karl Hobgood  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…

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