Texas State Securities Board Archives - Page 6 of 10

Rex Securities Law
August 3, 2016
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The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents

The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents 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 August 3, 2016 August 3, 2016

August 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…

Rex Securities Law
June 15, 2016
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Stanley Brian Catlin, Weatherford, TX-Fined by State Securities Regulator

Stanley Brian Catlin, Weatherford, TX-Fined by State 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 June 15, 2016 June 15, 2016

Weatherford, Texas Stanley Brian Catlin, a CPA and Weatherford ISD school board trustee was fined $6,000 by the Texas State Securities Board (TSSB) for acting as an investment adviser representative…

Rex Securities Law
June 6, 2016
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Allan Cooper Arrested on Investment Fraud-Houston, Texas

Allan Cooper Arrested on Investment Fraud-Houston, Texas 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 6, 2016 June 6, 2016

Houston, Texas The US Attorney’s Office for the Southern District of Texas announced the arrest of Allan George Cooper, 75, of Houston, Texas. Cooper is charged with wire fraud and…

Rex Securities Law
May 26, 2016
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Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX

Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, 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 26, 2016 October 26, 2017

Plano, Texas According to FINRA records, Robert M. Kuhn , a stock broker who worked for UBS Financial Services from 9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute and…

Rex Securities Law
March 23, 2016
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Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX

Sarah H. Hancock-Securities License Revoked by Texas 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 March 23, 2016 May 7, 2017

March 22, 2016-Austin, Texas Texas Securities Commissioner John Morgan revoked the investment adviser representative registration of Sarah Helen Hancock, of Dallas, TX, effective April 15, 2016. In addition Hancock was…

Rex Securities Law
March 21, 2016
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James Poe of Ft. Worth Sanctioned for Sale of Life Settlements

James Poe of Ft. Worth Sanctioned for Sale of Life Settlements 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 21, 2016 April 1, 2016

March 21, 2016- Austin, Texas The Texas State Securities Board (TSSB) entered an order revoking the registration of Fort Worth investment adviser James Poe as well as his company, James…

Rex Securities Law
March 15, 2016
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Former Austin Lawyer Begins 17 Year Prison Sentence for Fraud

Former Austin Lawyer Begins 17 Year Prison Sentence for Fraud 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 15, 2016 March 23, 2016

March 9, 2016-Austin, Texas The Texas Lawyer reports that Patrick Lanier, a former Austin attorney, began a 17 year prison sentence for assisting Harris Ballow, an international fugitive, defraud 500…

Rex Securities Law
February 24, 2016
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Dallas Financial Adviser Fined for Failure to Register with Texas State Securities Board

Dallas Financial Adviser Fined for Failure to Register with Texas State Securities Board 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 24, 2016 February 24, 2016

February 24, 2016- Dallas, Texas The Texas State Securities Board (TSSB) has reprimanded and fined Donald Lee Laseter $15,000 for acting as an investment adviser when he was not registered…

Rex Securities Law
February 23, 2016
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Mexican Man Convicted in El Paso, TX, on $15M Investment Fraud

Mexican Man Convicted in El Paso, TX, on $15M Investment Fraud 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 23, 2016 February 23, 2016

February 23, 2016- El Paso, Texas CBS 7 reports that Mexican businessman Roberto Trinidad Del Carpio Frescas of Chihuahua was convicted by a federal jury on 24 counts of wire…