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texas securities attorney

Former Wunderlich Securities Broker Sanctioned By Regulators-Plano
Former Wunderlich Securities Broker Sanctioned By Regulators-Plano 150 150 Rex Securities Law

July 10, 2015-Dallas, TX Joseph C. Schroeder entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: violated NASD Rule…

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Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas
Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas 150 150 Rex Securities Law

July 10, 2015 The Dallas Morning News reports that Justin Spearman, 27, of Winter Park, Florida, has been charged in the Eastern District of Texas with wire fraud in connection…

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Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX
Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Rex Securities Law

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

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Understanding Annuities–Help for Investors from Texas Department of Insurance
Understanding Annuities–Help for Investors from Texas Department of Insurance 150 150 Rex Securities Law

The Texas Department of Insurance provides an Information Center on their website as a resource for investors and consumers. Investors considering the purchase of an annuity can learn a great…

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San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board
San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board 150 150 Rex Securities Law

June 23, 2015-Austin, Texas John Morgan, Texas Securities Commissioner, entered a Cease and Desist Order against Petro-San Resources LLC and Sean Patrick Riley of San Antonio, Texas, alleging that they…

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SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud
SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud 150 150 Rex Securities Law

June 18, 2015 The Securities and Exchange Commission (SEC) filed an action charging Norstra Energy, based in Southlake, Texas and its CEO Glen Landry with defrauding investors about reserve estimates…

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First Independent Financial Services Broker Sanctioned by Regulators-Dallas
First Independent Financial Services Broker Sanctioned by Regulators-Dallas 150 150 Rex Securities Law

June 12, 2015 James Michael Ham  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts
Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 150 150 Rex Securities Law

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

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Round Rock Texas Man Indicted–Oil/Gas Ponzi Scheme
Round Rock Texas Man Indicted–Oil/Gas Ponzi Scheme 150 150 Rex Securities Law

June 3, 2015-Austin, Texas WIlliam Allen Risinger, of Round Rock, Texas,  was indicted May 19, 2015 on allegations that between 2010-2014 , through his company RHM Exploration, he promoted and sold…

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