texas securities fraud lawyer Archives - Page 3 of 93

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June 19, 2023
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Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, FL

Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 19, 2023 June 19, 2023

Eric Stone Investigation June 2023-Jacksonville, FL According to publicly available records Eric James Stone a former broker who last worked for Fidelity Brokerage Services, discloses a regulatory matter resulting in a…

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June 19, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 19, 2023 June 19, 2023

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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June 19, 2023
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Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas

Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 19, 2023 June 19, 2023

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…

Rex Securities Law
June 19, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 19, 2023 June 19, 2023

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…

ER
June 16, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 16, 2023 June 16, 2023

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…

Rex Securities Law
June 13, 2023
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Brian Prasifka-Former Rhodes Securities Broker-Sanctioned by Texas Securities Regulator – Fort Worth, TX

Brian Prasifka-Former Rhodes Securities Broker-Sanctioned by Texas Securities Regulator – Fort Worth, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 13, 2023 June 20, 2023

Brian Prasifka Investigation June 2023- Fort Worth, TX The FINRA records of J. Paul Brian Prasifka, a stockbroker currently employed by Gradient Securities disclose a recent sanction by Texas securities Regulators.…

Rex Securities Law
June 13, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 13, 2023 June 13, 2023

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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June 13, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 13, 2023 June 13, 2023

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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June 13, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 13, 2023 June 13, 2023

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…