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June 6, 2016
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Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX

Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,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 6, 2016 May 17, 2018

MAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…

Rex Securities Law
June 6, 2016
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Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-Plano, TX

Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-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 June 6, 2016 April 28, 2017

Plano, Texas UPDATE APRIL 2017-FINRA records reveal that Richard E. Poston is not currently registered as a broker. In July 2016, FINRA case # 16-0766, see below, was settled for…

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
June 6, 2016
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Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute 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

New York According to FINRA records, Maria Fan, a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm, discloses a currently pending customer dispute and 2 prior…

Rex Securities Law
June 6, 2016
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Stephen Sullivan-Legend Securities Broker-Discloses Regulatory Event

Stephen Sullivan-Legend Securities Broker-Discloses Regulatory Event 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 August 18, 2018

Melville, New York SEE THIS FOR AUGUST 2018 UPDATE-Sullivan now employed by SW Financial and is subject of $500K customer suit. Original Post June 2016 According to FINRA records, Stephen J.…

Rex Securities Law
June 4, 2016
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James G. Collard-Former VFinance Broker-Discloses Suspension/Fine-Boerne, TX

James G. Collard-Former VFinance Broker-Discloses Suspension/Fine-Boerne, 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 4, 2016 May 11, 2017

Boerne, Texas MAY 2017 UPDATE-In October 2016, James Collard was suspended by FINRA for 10 days and ordered to pay fines and restitution of about $37,000. Collard has been registered…

Rex Securities Law
June 4, 2016
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Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX

Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, 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 4, 2016 May 11, 2017

The Woodlands, Texas MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below, was paid $420,000 to settle the matter. ORIGINAL POST JUNE 2016– According to FINRA…

Rex Securities Law
June 4, 2016
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Craig R. Wirth Discloses Discharge From SWS Financial

Craig R. Wirth Discloses Discharge From SWS Financial 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 4, 2016 June 4, 2016

Addison, Texas According to FINRA records, Craig R. Wirth , a stockbroker who currently works for Cambridge Investment Research. discloses an Employment Separation After Allegation event. The Financial Industry Regulatory Authority (FINRA) is the agency…

Rex Securities Law
June 4, 2016
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Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute

Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute 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 4, 2016 January 8, 2017

June 2016—-Beaumont, Texas According to FINRA records, Terry W. Chilton , a stockbroker who formerly was employed by IMS Securities. discloses a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…