Southwest Securities complaint Archives - Page 2 of 2

Rex Securities Law
February 15, 2016
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Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2016 February 15, 2016

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…

Rex Securities Law
January 22, 2016
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Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX

Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 22, 2016 August 2, 2016

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…

Rex Securities Law
November 19, 2015
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Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator

Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 19, 2015 February 11, 2016

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…

Rex Securities Law
September 16, 2015
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2015 August 2, 2016

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…

Rex Securities Law
June 5, 2015
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 5, 2015 February 11, 2016

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…

Rex Securities Law
February 13, 2015
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 13, 2015 May 5, 2016

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…