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texas securities attorney

B.B. Graham & Co. Broker in Katy, Texas, Sanctioned by Securities Regulator

B.B. Graham & Co. Broker in Katy, Texas, Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 5, 2014-Katy, Texas  Henry McLain Dickinson, III  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between September 2009 and November…

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Sanders Morris Harris Sanctioned by Securities Regulator

Sanders Morris Harris Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 31, 2014-Houston, Texas  Sanders Morris Harris, Inc.  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, as a…

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Thomas Lucas Found Guilty in North Texas Disney Park Trial

Thomas Lucas Found Guilty in North Texas Disney Park Trial 150 150 Rex Securities Law

February 13, 2015- Sherman, Texas The Dallas Morning News reports that a jury took less than an hour to return a verdict of guilty on all counts in the fraud…

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Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law

Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law 150 150 Rex Securities Law

February 13, 2015 Rex Securities Law is investigating Wade James Lawrence who was formerly a stock broker with Southwest Securities in Dallas, Texas, 8/2011-12/2013. Prior to that FINRA records indicate…

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