Texas State Securities Board Archives - Page 4 of 8

Rex Securities Law
February 23, 2016
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Mexican Man Convicted in El Paso, TX, on $15M Investment Fraud

Mexican Man Convicted in El Paso, TX, on $15M Investment Fraud 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 February 23, 2016 February 23, 2016

February 23, 2016- El Paso, Texas CBS 7 reports that Mexican businessman Roberto Trinidad Del Carpio Frescas of Chihuahua was convicted by a federal jury on 24 counts of wire…

Rex Securities Law
February 22, 2016
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Dallas Broker Wade Lawrence Named in New SEC Complaint

Dallas Broker Wade Lawrence Named in New SEC Complaint 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 February 22, 2016 March 27, 2016

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

Rex Securities Law
February 22, 2016
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How To Recover Losses on United Development Funding Investments.

How To Recover Losses on United Development Funding Investments. 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 February 22, 2016 February 22, 2016

February 22, 2016 United Development Funding IV announced today in a filing with the Securities & Exchange Commission that the FBI raided their office in Grapevine last week and that…

Rex Securities Law
February 22, 2016
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LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer

LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer 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 February 22, 2016 February 22, 2016

February 18, 2016- The Texas State Securities Board reprimanded LPL Financial and ordered the company to pay a $95,000 fine for supervisory failures that led to one of their brokers…

Rex Securities Law
February 22, 2016
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Texas REIT United Development Funding IV Receives Grand Jury Subpoena Following FBI Raid

Texas REIT United Development Funding IV Receives Grand Jury Subpoena Following FBI Raid 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 February 22, 2016 February 22, 2016

February 22, 2016- Grapevine, Texas United Development Funding IV (UDF IV) reports that they have been subpoenaed to turn over company documents to a grand jury. In an SEC filing…

Rex Securities Law
February 22, 2016
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PTI Securities & Futures LP Facing Sanctions by Texas State Securities Board

PTI Securities & Futures LP Facing Sanctions by Texas State Securities Board 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 February 22, 2016 February 22, 2016

February 8, 2016- Austin , Texas The Texas State Securities Board (TSSB) has filed a Notice of Hearing to determine whether PTI Securities & Futures, L.P. should by reprimanded and…

Rex Securities Law
February 22, 2016
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Ronald Harrison-Former GWN Securities Broker-Sanctioned by Regulator-Carrollton, TX

Ronald Harrison-Former GWN Securities Broker-Sanctioned by Regulator-Carrollton, 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 February 22, 2016 May 14, 2018

February 16, 2016- Carrollton, Texas The Texas State Securities Board (TSSB) has suspended Ronald Eugene Harrison of Carrollton, Texas, for 90 days and assessed a fine of $5,000 to resolve…

Rex Securities Law
February 19, 2016
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United Development Funding Offices Raided by FBI- Grapevine, Texas

United Development Funding Offices Raided by FBI- Grapevine, Texas 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 February 19, 2016 February 19, 2016

February 19, 2016- Grapevine, Texas The FBI raided the offices of United Development Funding (UDF) yesterday causing the shares of its largest fund United Development Funding IV to fall over 50%,…

Rex Securities Law
February 17, 2016
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VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative Investments

VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative Investments 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 February 17, 2016 February 17, 2016

February 17, 2016 A FINRA (FInancial Industry Regulatory Authority) arbitration panel recently ordered VSR Financial Services to pay a Louisiana couple over $300,000 in damages for losses on non-traded real estate…