Former Southwest Securities Broker Wade J Lawrence Barred By FINRA-Dallas, TX

UPDATE February 13, 2015– Former investors with Wade J. Lawrence should see this recent posting regarding the investigation of Wade J. Lawrence. 
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In March 2014 the Financial Industry Regulatory Authority barred Dallas, Texas, broker Wade James Lawrence from the industry.
FINRA findings state that FINRA received a tip alleging that Lawrence misappropriated customer funds. During the course of the investigation regarding the tip, FINRA requested that Lawrence appear and provide on the record testimony. Counsel for Lawrence informed FINRA that he would not appear and provide on the record testimony.
According to FINRA records Lawrence is not currently registered . His previous registration history includes:
8/2011-12/2013                     Southwest Securities, Inc.
6/2008-7/2011                        Oppenheimer & Co. 

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