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Monthly Archives :

November 2015

Reef Securities Broker Harris W. Kirk Investigation

Reef Securities Broker Harris W. Kirk Investigation 150 150 Rex Securities Law

SEE THIS FOR February 2016 Update. November 25, 2015- Richardson, Texas  Rex Securities Law is investigating Harris Wayne Kirk ,  a stock broker who on October 1, 2015,  rejoined  Reef Securities, Inc. According to FINRA records,…

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Garland Wayne Benton, Former Reef Securities Broker- Investigation

Garland Wayne Benton, Former Reef Securities Broker- Investigation 150 150 Rex Securities Law

November 25, 2015- Richardson, Texas  Rex Securities Law is investigating Garland Wayne Benton, Jr.  who was  a stock broker with Reef Securities, Inc.  from June 2002 until April 2015  when he was terminated from Reef Securities, Inc. , who permitted…

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Update on Recovery of Reef Oil & Gas Investment Losses

Update on Recovery of Reef Oil & Gas Investment Losses 150 150 Rex Securities Law

Reef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years.   These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…

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Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme

Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme 150 150 Rex Securities Law

November 19, 2015- Tyler, Texas The FBI announced that Robert B. Hahn of Tyler, TX, pleaded guilty to wire fraud and money laundering in connection with an alleged  fraud he…

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Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA

Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA 150 150 Rex Securities Law

May 2017- Lafayette, Louisiana Garrett A. Ahrens  (aka Drew Ahrens) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval

Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval 150 150 Rex Securities Law

October 16, 2015- Portland, Oregon James G. Christianson  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011…

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Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments

Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments 150 150 Rex Securities Law

Aberdeen, South Dakota JUNE 2017 UPDATE–Michael A. Duch discloses two regulatory events and 2 prior customer disputes on his FINRA record. In 3/ 2016 he was fined $2,000 by the…

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Cambridge Investment Research Broker Sanctioned by Securities Regulator- Metairie, LA

Cambridge Investment Research Broker Sanctioned by Securities Regulator- Metairie, LA 150 150 Rex Securities Law

September 22, 2015- Metairie, LA Ralph Savoie , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide…

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