UPDATE February 13, 2015
– Former investors with Wade J. Lawrence
should see this recent posting
regarding the investigation of Wade J. Lawrence.
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.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Rex Securities Law
Florida-561 391 1900