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Oppenheimer & Co. problem

FINRA Fines Firms for Violations in 2015

FINRA Fines Firms for Violations in 2015 150 150 Rex Securities Law

January 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…

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Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud

Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud 150 150 Rex Securities Law

September 15, 2015–Dallas, Texas In a Press Release, the FBI reports that Wade Lawrence, 43, of Dallas faces up to five years in prison for securities fraud in connection with offering…

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South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Rex Securities Law

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

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Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? 150 150 Rex Securities Law

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator

Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 11, 2015, Seabrook, Texas  Royce O. Simpson,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide written…

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Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law

Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law 150 150 Rex Securities Law

February 13, 2015 Rex Securities Law is investigating Wade James Lawrence who was formerly a stock broker with Southwest Securities in Dallas, Texas, 8/2011-12/2013. Prior to that FINRA records indicate…

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