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texas securities fraud lawyer

Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX
Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX 150 150 Rex Securities Law

Bob Flournoy/Energy Investment Partners Sanctioned for Maple Grove 2 Prospect Sales July 2022- Dallas, TX  On January 31, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Energy Investment Partners…

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Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX
Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX 150 150 Rex Securities Law

Todd Prince Sanctioned for Sales of Beeler 2H Joint Venture Sales July 2022- Austin, TX  On April 21, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Todd Prince. According…

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Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX
Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Rex Securities Law

Perry Abbonizio Sanctioned by Texas Securities Regulator July 2022- Austin, TX  On June 23, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Perry Abbonizio. In February, 2020, the Texas…

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StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX
StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Rex Securities Law

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator July 2022- Austin, TX  On June 12, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning StartEngine Crowdfunding, Inc., an equity…

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Mark A. Kemp Investigation-McNally Financial Services Broker-Corpus Christi, TX
Mark A. Kemp Investigation-McNally Financial Services Broker-Corpus Christi, TX 150 150 Rex Securities Law

Mark Kemp Investigation October 2022 – Corpus Christi, Texas According to publicly available records Mark A. Kemp  (CRD#2057200) ,  a  stockbroker who currently works for San Antonio-based McNally Financial Services Corp. ,  discloses a prior regulatory…

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Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL
Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL 150 150 ER

Shawn  Parker Investigation July 2022-Schaumburg, IL According to publicly available records Shawn Elizabeth Parker,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting in a…

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Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK
Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter, a pending customer dispute, 7…

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Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL
Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Scott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets,  discloses a final regulatory matter resulting…

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Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ
Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ 150 150 ER

Philip Riposo Investigation July 2022-Scottsdale, AZ According to publicly available records Philip Riposo a former broker who last worked for United Planners’ Financial Services,  discloses a final regulatory matter resulting in a…

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