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Monthly Archives :

December 2015

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX
Dennis Van Patter Investigation -First Financial Services Group-Plano,TX 150 150 Rex Securities Law

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…

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Texas State Securities Board Fines Carrollton, TX, Investment Adviser
Texas State Securities Board Fines Carrollton, TX, Investment Adviser 150 150 Rex Securities Law

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order against Mike Reed Hall of Carrollton, TX, and assessed a fine of $5,000…

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Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes
Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes 150 150 Rex Securities Law

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order suspending investment adviser Marvin M Slater of Dallas, TX, for 90…

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Nine Indicted in South Florida in Oxford City Football Club Securities Fraud
Nine Indicted in South Florida in Oxford City Football Club Securities Fraud 150 150 Rex Securities Law

December 11., 2015-  Miami, Florida The FBI reports that nine individuals have been indicted for operating a Broward County telemarketing scheme (aka “boiler room”) that caused investors nationwide to lose…

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Texas Attorney and Texas Stock Promoter Sentenced in Connect-A-Jet Stock Fraud Conspiracy
Texas Attorney and Texas Stock Promoter Sentenced in Connect-A-Jet Stock Fraud Conspiracy 150 150 Rex Securities Law

December 15, 2015- Dallas, Texas The FBI reports that Martin Cantu, 59, of San Antonio, TX, was sentenced to 35 months in federal prison and ordered to surrender his law license…

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UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim?
UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim? 150 150 Rex Securities Law

UPDATE FEBRUARY 2016- FBI RAIDS UDF OFFICES IN GRAPEVINE, TEXAS—See this for details.  December 16, 2015-Grapevine, Texas United Development Funding IV (UDF) , a real estate investment trust (REIT) based…

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LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken
LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken 150 150 Rex Securities Law

October 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…

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Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN
Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN 150 150 Rex Securities Law

October 13, 2015-Danbury, CN Jeffrey David Snyder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he repeatedly refused…

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Dalton Strategic Investment Services Stock Broker Sanctioned Over Annuity Sales- Coral Gables, FL
Dalton Strategic Investment Services Stock Broker Sanctioned Over Annuity Sales- Coral Gables, FL 150 150 Rex Securities Law

October 14, 2015-Coral Gables, FL Andrew M. Abern , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

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