Discretionary Trading Archives - Page 20 of 20

Rex Securities Law
April 23, 2015
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Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 23, 2015 April 28, 2016

April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates, for ten days for exercising discretion in a client account…

Rex Securities Law
April 10, 2015
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Douglas Dannhardt-Former Prospera Financial Broker- Sanctioned for Churning Accounts-San Antonio, TX

Douglas Dannhardt-Former Prospera Financial Broker- Sanctioned for Churning Accounts-San Antonio, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 10, 2015 May 12, 2017

April 2, 2015-San Antonio, Texas FINRA records report that Douglas Joseph Dannhardt entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

Rex Securities Law
March 22, 2015
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Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator

Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 22, 2015 April 28, 2016

March 19, 2015- San Antonio, Texas Joseph DiRago, Jr. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2011…

Rex Securities Law
March 22, 2015
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Armen Bahadourian-Former UnionBanc Broker Sanctioned for Trading Without Customer’s Permission

Armen Bahadourian-Former UnionBanc Broker Sanctioned for Trading Without Customer’s Permission https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 22, 2015 June 7, 2017

March 17, 2015 Armen Bahadourian entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in late 2012, while registered with…

Rex Securities Law
February 17, 2015
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OneAmerica Securities Investigated for Failing to Supervise Option Trading

OneAmerica Securities Investigated for Failing to Supervise Option Trading https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2015 May 5, 2016

February 13, 2015 OneAmerica Securities, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…

Rex Securities Law
February 13, 2015
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Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law

Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 13, 2015 May 5, 2016

February 13, 2015 Rex Securities Law is investigating Wade James Lawrence who was formerly a stock broker with Southwest Securities in Dallas, Texas, 8/2011-12/2013. Prior to that FINRA records indicate…