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Unregistered Brokers

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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Michael Collins of Alice, Texas, Indicted for Securities Fraud
Michael Collins of Alice, Texas, Indicted for Securities Fraud 150 150 Rex Securities Law

October 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…

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Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000
Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000 150 150 Rex Securities Law

August 18, 2015-Austin, Texas John Morgan, Texas Securities Commissioner entered a Consent Order finding that Citigroup Global Markets, Inc. failed to monitor the registration status of sales assistants, some of…

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