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Southwest Securities complaint

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas 150 150 Rex Securities Law

February 9, 2016- Plano, Texas William Wesley Marshall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he participated in private securities…

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Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX

Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX 150 150 Rex Securities Law

January 21, 2016 – Dallas Texas Former  Southwest Securities broker Wade J. Lawrence was sentenced to three years in prison for fraud, according to the Dallas Morning News. According to…

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Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator

Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator 150 150 Rex Securities Law

September 24,  2015- Plano, Texas  John Joseph Kolinofsky, Jr , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while acting…

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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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Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Rex Securities Law

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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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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