financial advisor negligence Archives - Rex Securities Law-BLOG

Rex Securities Law
September 16, 2021
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Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2021 September 16, 2021

September 2021- Austin, TX Texas Securities Commissioner Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

Rex Securities Law
July 30, 2021
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Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX

Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 30, 2021 July 30, 2021

July 2021- Waxahachie, TX According to publicly available records, Legacy Wealth Advisors, a registered investment advisor located in Waxahachie, Texas, was recently reprimanded and fined $15,000 by the Texas State…