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Southwest Securities problem

Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX
Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX 150 150 Rex Securities Law

March 2020-Dallas, Texas The FINRA records of  Hilltop Securities,  a  stock brokerage firm headquartered in Dallas, Texas, disclose 52 prior regulator events that are final and 20 prior customer arbitrations. The Financial…

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Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX
Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX 150 150 Rex Securities Law

June 2016-Grapevine, Texas According to FINRA records,  Richard M. Ohlhaber ,   a stockbroker  who most recently was  employed by FSC Securities Corp., Inc. , discloses two pending customer disputes. He also discloses  3 prior final regulatory events…

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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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Jerry Lowrimore-Hilltop Securities- Named In Customer Arbitration-Dallas, TX
Jerry Lowrimore-Hilltop Securities- Named In Customer Arbitration-Dallas, TX 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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Jamey Graham-Hilltop Securities Broker-Named in Customer Dispute-Plano,TX
Jamey Graham-Hilltop Securities Broker-Named in Customer Dispute-Plano,TX 150 150 Rex Securities Law

April 11, 2016-Plano, 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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Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX
Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX 150 150 Rex Securities Law

APRIL 2017 UPDATE In October 2016 Wade J. Lawrence was permanently barred by the SEC from acting as a broker, dealer, investment adviser, municipal securities dealer, municipal advisor or transfer…

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Dallas Broker Wade Lawrence Named in New SEC Complaint
Dallas Broker Wade Lawrence Named in New SEC Complaint 150 150 Rex Securities Law

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

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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 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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