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texas securities attorney

Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme
Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme 150 150 Rex Securities Law

November 19, 2015- Tyler, Texas The FBI announced that Robert B. Hahn of Tyler, TX, pleaded guilty to wire fraud and money laundering in connection with an alleged  fraud he…

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Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA
Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA 150 150 Rex Securities Law

May 2017- Lafayette, Louisiana Garrett A. Ahrens  (aka Drew Ahrens) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval
Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval 150 150 Rex Securities Law

October 16, 2015- Portland, Oregon James G. Christianson  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011…

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Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments
Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments 150 150 Rex Securities Law

Aberdeen, South Dakota JUNE 2017 UPDATE–Michael A. Duch discloses two regulatory events and 2 prior customer disputes on his FINRA record. In 3/ 2016 he was fined $2,000 by the…

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Matthew Schomburg-State Farm Agent-Katy, Texas-Sanctioned by Securities Regulator
Matthew Schomburg-State Farm Agent-Katy, Texas-Sanctioned by Securities Regulator 150 150 Rex Securities Law

September 29,  2015- Katy, Texas  Matthew T. Schomburg , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 11/2010-8/2013 he…

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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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Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX
Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX 150 150 Rex Securities Law

May 2018 Update–Charlotte Guin is subject of $10M suit. Follow this for more information.  Original Post-August 5,  2015– Huffman, Texas  Charlotte Ann Guin ,  entered into a Letter of Acceptance Waiver and Consent…

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Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX
Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX 150 150 Rex Securities Law

August 7, 2015- Edna, Texas Marcus Farquhar ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2013 to…

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Dallas Based VCA Securities Censured by Securities Regulators
Dallas Based VCA Securities Censured by Securities Regulators 150 150 Rex Securities Law

August 12, 2015- Dallas, Texas VCA Securities  (formerly Bluffview Securities)  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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