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First Southwest Company problem

Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations
Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations 150 150 Rex Securities Law

April 11, 2016-Dallas, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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First Southwest Company Sanctioned by Securities Regulators
First Southwest Company Sanctioned by Securities Regulators 150 150 Rex Securities Law

First Southwest Company ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…

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First Southwest Company, Dallas, TX, Fined by FINRA
First Southwest Company, Dallas, TX, Fined by FINRA 150 150 Rex Securities Law

Dallas, Texas The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining…

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FINRA Announces August 2013 Disciplinary Actions
FINRA Announces August 2013 Disciplinary Actions 150 150 Robert H. Rex

The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. If you have questions about losses in your brokerage…

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