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texas securities attorney

Fort Bend Texas Securities Trader Indicted for Theft of Investor Funds
Fort Bend Texas Securities Trader Indicted for Theft of Investor Funds 150 150 Rex Securities Law

April 7, 2015- Austin, Texas  The Texas State Securities Board (TSSB) announced that Jeffrey Ray Filla was arrested in Fort Bend County and indicted on securities fraud and other charges…

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Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royalties
Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royalties 150 150 Rex Securities Law

March 25, 2015-Austin, TX John Morgan, Securities Commissioner for the State of Texas, entered an Emergency Cease and Desist Order against Lonestar Mineral Assets or Dallas and Colleyville, TX, and its…

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Dallas Based Worth Financial Group Sanctioned by Securities Regulator
Dallas Based Worth Financial Group Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 9, 2015 Worth Financial Group  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  it failed to establish adequate supervisory…

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Christopher Taylor-Edward Jones Broker, Montgomery, Texas – Sanctioned by Securities Regulator
Christopher Taylor-Edward Jones Broker, Montgomery, Texas – Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 20 , 2015-Montgomery, Texas  Christopher Alan Taylor   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…

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Vanguard Marketing Corporation Fined $350,000 by Securities Regulator
Vanguard Marketing Corporation Fined $350,000 by Securities Regulator 150 150 Rex Securities Law

March 6, 2015 Vanguard Marketing Corporation    entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between January 2011 through December 2013,…

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Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator
Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 19, 2015- San Antonio, Texas  Joseph DiRago, Jr.    entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between June 2011…

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Armen Bahadourian-Former UnionBanc Broker Sanctioned for Trading Without Customer’s Permission
Armen Bahadourian-Former UnionBanc Broker Sanctioned for Trading Without Customer’s Permission 150 150 Rex Securities Law

March 17, 2015   Armen Bahadourian   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  in late 2012, while registered with…

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Dallas Based Share Financial Services Sanctioned by Securities Regulators
Dallas Based Share Financial Services Sanctioned by Securities Regulators 150 150 Rex Securities Law

March 16, 2015 Share Financial Services and its President and Chief Compliance Officer Charles Major entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA)…

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David Harari-San Antonio Stock Broker Sanctioned by Regulator
David Harari-San Antonio Stock Broker Sanctioned by Regulator 150 150 Rex Securities Law

March 9, 2015- San Antonio, Texas  The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

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