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Sanders Morris Harris complaint

Thomas Lykos, Jr.-Former Sanders Morris Harris Broker-Discloses Regulatory Event- Houston, TX

Thomas Lykos, Jr.-Former Sanders Morris Harris Broker-Discloses Regulatory Event- Houston, TX 150 150 Rex Securities Law

May 2020-Houston, TX According to publicly available records Thomas J. Lykos, Jr.  a   stockbroker who was last employed by  Sanders Morris Harris  discloses a regulatory event and two outstanding judgment…

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Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits

Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits 150 150 Rex Securities Law

April 2019- New York According to FINRA records,  Ronald A. Frumkes,  a stockbroker  who is not currently registered with any firm and  who last worked  for Wunderlich Securities ,  discloses  three prior…

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Humbert B. Powell-Wunderlich Securities Broker-Discloses Customer Dispute-NY

Humbert B. Powell-Wunderlich Securities Broker-Discloses Customer Dispute-NY 150 150 Rex Securities Law

New York According to FINRA records,  Humbert B. Powell, III ,  a stockbroker  who works for Wunderlich Securities ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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Sanders Morris Harris Sanctioned by Securities Regulator

Sanders Morris Harris Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 31, 2014-Houston, Texas  Sanders Morris Harris, Inc.  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, as a…

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