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Wunderlich Securities (now B. Riley Wealth Management)

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator 150 150 Rex Securities Law

July 10, 2015- Dallas, Texas Joseph Charles Schroeder ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

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Former Wunderlich Securities Broker Sanctioned By Regulators-Plano

Former Wunderlich Securities Broker Sanctioned By Regulators-Plano 150 150 Rex Securities Law

July 10, 2015-Dallas, TX Joseph C. Schroeder entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: violated NASD Rule…

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Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? 150 150 Rex Securities Law

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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