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Unregistered Securities

SII Investments Broker David Thomas Sanctioned by Securities Regulators

SII Investments Broker David Thomas Sanctioned by Securities Regulators 150 150 Robert H. Rex

  David Patrick Thomas, a resident of Washington state was recently sanctioned by securities regulators in Washington in connection with the sale of LLC membership interests issued by Chadbourne Partners,…

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Texas Residents Charged by SEC for Sale of Fraudulent Oil & Gas Investments

Texas Residents Charged by SEC for Sale of Fraudulent Oil & Gas Investments 150 150 Rex Securities Law

  On March 28, 2014, The Securities & Exchange Commission (SEC) charged Jason A. Halek of Southlake, TX, and Patrick J. Booths of Forth Worth with securities fraud in a…

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Carlo Corzine of Dawson James Securities Suspended by FINRA for 30 Days

Carlo Corzine of Dawson James Securities Suspended by FINRA for 30 Days 150 150 Robert H. Rex

UPDATE March 2016-Carlo Corzine discloses customer dispute related to sale of Tactical Air Defense, see this for more. December 2013-Carlo Wayne Corzine  of Boca Raton, FL, was suspended by FINRA…

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Texas State Securities Board Announces September Civil & Criminal Actions

Texas State Securities Board Announces September Civil & Criminal Actions 150 150 Robert H. Rex

According to their website, which can be viewed here, the Texas State Securities Board (TSSB) has the following mission and purpose: “Our Mission The mission of the State Securities Board…

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TriStar Equity of Austin,TX Agrees to Cease and Desist

TriStar Equity of Austin,TX Agrees to Cease and Desist 150 150 Rex Securities Law

On August 9th, 2013, TriStar Equity of Austin, TX, through its manager Tom Carter, consented to an entry of an Agreed Cease and Desist Order in connection with offering for…

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