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texas securities attorney

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Rex Securities Law

Ex-Pat With Losses in Your U.S. Brokerage Account? November 2021 If you are an expat residing in Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South America, Costa Rica…

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Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Rex Securities Law

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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John Lowry- Spartan Capital Broker- Subject of Regulatory Complaint-New York, NY

John Lowry- Spartan Capital Broker- Subject of Regulatory Complaint-New York, NY 150 150 Rex Securities Law

November 2021- New York, NY The FINRA records of  John Dennis Lowry ,  a  financial advisor  employed by  Spartan Capital Securities disclose a pending regulatory matter, 2 pending customer disputes and…

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Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA

Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA 150 150 ER

Eric Hollifield Investigation November 2021-Ducala, GA According to FINRA records  Eric S. Hollifield, an unregistered financial advisor previously employed by LPL Financial discloses a multi-million dollar suit by a customer…

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Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR

Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR 150 150 ER

Rhett Bedwell Investigation November 2021- Rogers, AR  The FINRA records of  Rhett Bedwell ,  a  former financial advisor who was last employed by  LPL Financial disclose a regulatory event and three…

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Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC

Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC 150 150 ER

Margaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records  Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation  discloses a pending customer dispute.…

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Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest

Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest 150 150 Rex Securities Law

Hancock Whitney Investment Services Investigation November 2021 Hancock Whitney Investment Services was fined and ordered to pay disgorgement and restitution over $2.4 million dollars by regulators for conflicts of interest related…

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Robin Platt Investigation-Subject of Million Dollar Suit Over Northstar Financial Services -Covington, LA

Robin Platt Investigation-Subject of Million Dollar Suit Over Northstar Financial Services -Covington, LA 150 150 Rex Securities Law

Robin Platt Investigation November 2021-Covington, LA According to FINRA records  Robin V. Platt, a financial advisor employed as a registered broker by Hancock Whitney Investment Services discloses a multi-million dollar suit…

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