Securities Regulators Archives - Page 3 of 87

Rex Securities Law
July 13, 2022
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StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, 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 July 13, 2022 July 13, 2022

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator July 2022- Austin, TX On June 12, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning StartEngine Crowdfunding, Inc., an equity…

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July 5, 2022
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Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX

Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

Lyle Boudreaux Investigation July, 2022 – Houston, TX The FINRA records of Lyle J. Boudreaux a former broker who was previously employed by Independent Financial Group, discloses a regulatory event ,…

Rex Securities Law
June 15, 2022
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George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, 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 June 15, 2022 June 15, 2022

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of George M. Warner , a former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

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June 13, 2022
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Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN

Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 13, 2022 June 13, 2022

Bill Woods aka William Forrest Winchester Investigation June 2022- Chattanooga, TN According to publicly available records Bill Woods (aka…

Rex Securities Law
June 9, 2022
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Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX

Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, 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 June 9, 2022 June 9, 2022

Eric Willer Investigation June 2022- Dallas, Texas According to publicly available records Eric C. Willer , (CRD# 2263899 ) , a stockbroker who formerly worked with Fusion Analytics Securities discloses a regulatory suspension. The Financial…

Rex Securities Law
June 9, 2022
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Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX

Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, 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 June 9, 2022 June 9, 2022

Swiftarc Capital & Siddharth Jawahar Accused of Fraud June 2022- Austin, TX On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…

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June 7, 2022
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Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL

Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 7, 2022 June 7, 2022

Anthony Frank Prieto Investigation June 2022-Tampa, FL According to publicly available records Anthony Frank Prieto, a currently unregistered broker who last worked for Royal Alliance Associates, Inc., discloses a pending United…

Rex Securities Law
May 10, 2022
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Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA

Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA 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 May 10, 2022 May 10, 2022

Triad Advisors Fined by Securities Regulators Over Sale of LJM Preservation & Growth Fund May 2022-Atlanta, GA Triad Advisors is a broker dealer headquartered in Atlanta, Ga. It has been a…

Rex Securities Law
May 10, 2022
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Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX

Torch Securities Fined by Regulators Over Private Placements -Sugar Land,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 May 10, 2022 May 10, 2022

Torch Securities Fined by Securities Regulators May 2022-Sugar Land, TX Torch Securities is a broker dealer located in Sugar Land, TX that does investment banking, merger and acquisition work and…