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texas securities attorney

Laurie Mayfield of Fredericksburg Texas Pleads Guilty to Wire Fraud
Laurie Mayfield of Fredericksburg Texas Pleads Guilty to Wire Fraud 150 150 Rex Securities Law

June 9, 2015-San Antonio, Texas Laurie Mayfield (aka “Laurie H. Scott“) , 54, of Fredericksburg, Texas, pleaded guilty to one count of wire fraud to resolve allegations that from January…

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Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection
Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection 150 150 Rex Securities Law

June 8, 2015-San Antonio, Texas Primera Energy filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the Western District of Texas. The filing came a day following…

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Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities
Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities 150 150 Rex Securities Law

May 15, 2015-Houston, Texas A FINRA (Financial Industry Regulatory Authority) arbitration panel in Houston, Texas, awarded over $1.1 million to a couple who filed a claim alleging that the annuities…

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Financial Services Firm CEO Sentenced to 10 Years Prison for Securities Fraud
Financial Services Firm CEO Sentenced to 10 Years Prison for Securities Fraud 150 150 Rex Securities Law

June 4, 2015 Everett C. Miller, 45, of Marlton, New Jersey was sentenced to 120 months in prison after pleading guilty before U.S. District Judge Renee Marie Bumb to one…

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Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry
Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Rex Securities Law

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery
Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery 150 150 Rex Securities Law

March 30, 2015, Grapevine, Texas  Sam Marshall Stull  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…

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Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator
Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 11, 2015, Seabrook, Texas  Royce O. Simpson,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide written…

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Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator
Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 24, 2015, Plano, Texas  Leslie Lynn King   entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted a…

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Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading
Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading 150 150 Rex Securities Law

UPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer.   Our Original Post–March 6, 2015,  Fair Oaks Ranch, Texas  Barry S. Brower,  entered into a Letter of…

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