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Rex Securities Law-BLOG

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.
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Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX
Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX 150 150 ER

Corrie Mitchell Investigation February  2023 – San Antonio, TX According to publicly attained records, Corrie Mitchell, a stockbroker who was last employed by Cambridge Investment Research, Inc, discloses that she was…

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Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX
Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX 150 150 ER

Derick Strickland Investigation February 2023 – Houston, TX According to publicly available records Derick Strickland,a former broker who last worked for Allstate Financial Services,  discloses a final regulatory matter resulting in…

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Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX
Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX 150 150 ER

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Roberts,a former broker who last worked for Spire Securities,  discloses a final regulatory matter resulting in a…

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Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK
Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK 150 150 ER

Karen  Cunningham Investigation   February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham,  a broker employed by Kestra Advisory Services,  discloses a pending customer dispute. The Financial…

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Scott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX
Scott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX 150 150 ER

Scott Burford Investigation February 2023-Dallas, TX The FINRA records of Scott Burford ,  a Hilltop Securities Network Securities, Inc., broker disclose a regulatory matter and a termination. The Financial Industry Regulatory…

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Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX
Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX 150 150 ER

Michael Witt Investigation February 20, 2023- Plano, TX The FINRA records of Michael Witt,  an Ameriprise Financial Services broker,  disclose 2 regulatory events and a termination. The Financial Industry Regulatory Authority (FINRA) is…

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Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX
Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX 150 150 ER

Cliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs,  a broker employed by Securities Management and Research, Inc.,  discloses a customer dispute. The Financial…

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William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX
William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX 150 150 ER

William Huthnance Investigation February 2023-Houston, TX The FINRA records of William Huthnance, a UBS Financial Services broker, discloses 2 past customer disputes and 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX
Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX 150 150 ER

Jon Ellefson Investigation   February 2023- Harker Heights, TX According to publicly available records Jon Ellefson  a broker employed by Intervest International Equities Securities,  discloses three settled customer disputes and two…

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