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texas securities attorney

Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX

Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX 150 150 Rex Securities Law

Shaun Hayes Investigation May 2022-Fort Worth, TX  According to publicly available records Shaun Eugene Hayes ,  a  stockbroker who is currently unregistered and who last was employed by Merrill Lynch discloses…

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Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX

Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX 150 150 Rex Securities Law

Michael J. Giannetti Investigation May 2022-McKinney , TX  According to publicly available records Michael J. Giannetti, a former broker who last worked for  MML Investors Services,  discloses a final regulatory matter resulting…

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Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA

Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA 150 150 Rex Securities Law

Triad Advisors Fined by Securities Regulators Over Sale of LJM Preservation & Growth Fund May 2022-Atlanta, GA Triad Advisors  is a broker dealer headquartered in Atlanta, Ga.  It has been a…

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Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX

Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX 150 150 Rex Securities Law

Torch Securities Fined by Securities Regulators May 2022-Sugar Land, TX Torch Securities  is a broker dealer located in Sugar Land, TX that does investment banking, merger and acquisition work and…

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Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX 150 150 Rex Securities Law

Nobles & Richards Fined by Securities Regulators May 2022-Plano, TX Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and…

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William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA

William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA 150 150 ER

William “Bill” Poulter Investigation May 2022- Baton Rouge, LA According to publicly available records, William John Poulter, an LPL Financial broker discloses a pending customer dispute. The Financial Industry Regulatory…

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Mark C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX

Mark C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX 150 150 Rex Securities Law

Mark C. O’Meara Investigation May 2022 – Georgetown, TX According to publicly available records Michael C. O’Meara  (CRD#2652113) ,  a  stockbroker who currently works for LPL Financial and who previously worked for  McNally…

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Kirk Badii-Former UBS Broker-$3M Customer Suit Over Alt Investments-Southlake, TX

Kirk Badii-Former UBS Broker-$3M Customer Suit Over Alt Investments-Southlake, TX 150 150 Rex Securities Law

Kirk Badii Investigation May 2022-Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker who previously worked for UBS Financial Services , disclose a pending customer dispute  and 2 terminations from employment. The Financial…

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George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO

George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO 150 150 ER

George L. McCaffrey Investigation May 2022 – Englewood, CO According to publicly available records, George Louis McCaffrey, a former stockbroker who was last employed by NTB Financial Corporation (formerly Neidiger…

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