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Monthly Archives :

October 2016

Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits
Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits 150 150 Rex Securities Law

SEPTEMBER 2018 The FINRA records of  Rick A. Davidson,  a  stockbroker who is currently employed by  National Securities Corporation  disclose 5 prior customer disputes that that are final  and a separation from employment after allegations. The…

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Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales
Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales 150 150 Rex Securities Law

September 2016-Helotes, Texas The FINRA records of  Daniel A. Cabrera,  a  stockbroker who is currently employed by  BBVA Securities  disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft
Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft 150 150 Rex Securities Law

October 2016-Moon Township, PA The FINRA records of  Gregory R. Bauer,  a  former stockbroker who most recently was  employed by  H. Beck, Inc.  disclose a final regulatory event and a termination from employment. The Financial Industry Regulatory…

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Ian C. Kass-Former WIlson-Davis Stockbroker- Charged with Securities Fraud-Ft. Lauderdale, FL
Ian C. Kass-Former WIlson-Davis Stockbroker- Charged with Securities Fraud-Ft. Lauderdale, FL 150 150 Rex Securities Law

October 2016-Ft. Lauderdale, Florida The FINRA records of  Ian C. Kass,  a  former stockbroker who  was last employed by  Wilson-Davis & Co.   discloses a recent employment separation after allegations. In September 2016, the U.S. Attorney’s Office…

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NEXT Financial Group Settles Tenant in Common Case
NEXT Financial Group Settles Tenant in Common Case 150 150 Rex Securities Law

October 2016 Next Financial Group, Inc. , a stock brokerage firm headquartered in Houston, Texas, recently settled a claim brought by a customer alleging damages of $4,000,000 for breach of…

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Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators
Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators 150 150 Rex Securities Law

October 2016- Spring, Texas The Texas State Securities Board (TSSB) sanctioned  Old Security Financial Group, Inc. of Spring, Texas,  fining the company $100,000 for selling unregistered investments in a mortgage note…

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San Antonio Based Investment Adviser Sanctioned by Texas Regulators
San Antonio Based Investment Adviser Sanctioned by Texas Regulators 150 150 Rex Securities Law

September 2016- San Antonio, Texas The Texas State Securities Board (TSSB) sanctioned San Antonio investment adviser firm Rubicon Investment Management & Analytics and barred its president Michael Yves Heridia from…

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Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX
Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX 150 150 Rex Securities Law

February 2020-Austin, Texas The FINRA records of  William F.  “Billy” Fox,  a  stockbroker who is currently employed by  First Allied Securities  disclose 2 prior customer disputes that are final and one currently pending…

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Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and Fraud
Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and Fraud 150 150 Rex Securities Law

October 2016-Tampa, Florida Licensed Texas attorney Perry Don Cortese, 53, of Little River, Texas, was found guilty of conspiracy to commit international money laundering and conspiracy to commit mail and wire…

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