fbpx

texas securities attorney

Wadsworth Investment Censured and Fined by FINRA

Wadsworth Investment Censured and Fined by FINRA 150 150 Rex Securities Law

  Preston, CT In March 2014, the Financial Industry Regulatory Authority (FINRA) fined Wadsworth Investment Co. $50,000. William Frederick Wadsworth (CRD 456251), President and Chief Compliance Officer, was fined $20,000…

read more

Texas Regulators Issue Cease & Desist Vs. Balanced Energy and Kirk Johhnson

Texas Regulators Issue Cease & Desist Vs. Balanced Energy and Kirk Johhnson 150 150 Rex Securities Law

By Robert H. Rex, Esq.  On March 10, 2014, John Morgan, Securities Commissioner for the Texas State Securities Board (TSSB) issued an Emergency Cease and Desist Order against Southlake, Texas,…

read more

VSR Broker M.F. (Mickey) Long II & Personal Wealth Advisors, LLC Investigated by Rex Securities Law

VSR Broker M.F. (Mickey) Long II & Personal Wealth Advisors, LLC Investigated by Rex Securities Law 150 150 Rex Securities Law

Rex Securities Law is investigating VSR Financial Services broker Mickey Long II, of Plano , TX, and his company Personal Wealth Advisors, LLC,  on behalf of several customers who were sold high concentrations…

read more

Fraud Trials in Hood/Collins Counties Texas Lead to 95 years in Prison

Fraud Trials in Hood/Collins Counties Texas Lead to 95 years in Prison 150 150 Rex Securities Law

By Robert H. Rex, Esq.  On January 31, 2014, Eddie Lacy Stivers of Hood County, Texas,  was sentenced to 85 years in state prison for fraud in connection  with the…

read more

Investment News Announces Largest Texas Registered Investment Advisers

Investment News Announces Largest Texas Registered Investment Advisers 150 150 Rex Securities Law

By Robert H. Rex, Esq.  Investment News recently announced the largest Registered Investment Advisers (RIA) in the State of Texas. Here are the top twenty. Follow this link to the…

read more

Update On Corpus Christi Broker William C. Mays

Update On Corpus Christi Broker William C. Mays 150 150 Rex Securities Law

  In December 2013, FINRA announced that William Charlton Mays of Corpus Christi was named in a FINRA complaint alleging that he converted and misused over $30,000 in customer funds…

read more

Stephen M. Brown-Former LPL Financial Broker-Plano,TX-Barred From Securities Industry

Stephen M. Brown-Former LPL Financial Broker-Plano,TX-Barred From Securities Industry 150 150 Rex Securities Law

Plano, Texas In November 2013, FINRA announced that Stephen Michael Brown (CRD# 1221582) of Terrell, TX, was barred from association with any FINRA member in any capacity. This sanction was…

read more

Mark John Nuovo- Former Euro Pacific Capital Broker–Barred By FINRA-Ponzi Scheme

Mark John Nuovo- Former Euro Pacific Capital Broker–Barred By FINRA-Ponzi Scheme 150 150 Rex Securities Law

In November 2013, FINRA announced that Mark John Nuovo (CRD# 2010267) was barred from association with any FINRA member in any capacity, based on findings that he introduced customers to…

read more

Kevin Marris Coats-Former Farmers Financial Solutions Broker -Barred by FINRA

Kevin Marris Coats-Former Farmers Financial Solutions Broker -Barred by FINRA 150 150 Rex Securities Law

In November 2013, FINRA announced that Marris Kevin Coats (CRD #4469855) of Belton, Texas, had been barred from the industry based on findings that he collected cash premium payments totaling…

read more