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texas securities attorney

Bruce Slater/ Ridgewood Energy Funds Investigation

Bruce Slater/ Ridgewood Energy Funds Investigation 150 150 Rex Securities Law

Rex Securities Law a national securities arbitration firm, is investigating Bruce A. Slater, a broker with Transamerica Financial Advisors, Inc. on behalf of an elderly couple that was sold an…

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Texas State Securities Board Announces September Civil & Criminal Actions

Texas State Securities Board Announces September Civil & Criminal Actions 150 150 Robert H. Rex

According to their website, which can be viewed here, the Texas State Securities Board (TSSB) has the following mission and purpose: “Our Mission The mission of the State Securities Board…

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Investigation of John H. Towers-VSR Financial-UPDATED JAN 2014

Investigation of John H. Towers-VSR Financial-UPDATED JAN 2014 150 150 Rex Securities Law

 JANUARY 2014 UPDATE: In January 2014, John Towers was fined $25,000 and suspended for three months by FINRA in connection with the sale of over $6 million of real estate…

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TriStar Equity of Austin,TX Agrees to Cease and Desist

TriStar Equity of Austin,TX Agrees to Cease and Desist 150 150 Rex Securities Law

On August 9th, 2013, TriStar Equity of Austin, TX, through its manager Tom Carter, consented to an entry of an Agreed Cease and Desist Order in connection with offering for…

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Timothy Ward of Investment Professionals, Inc. Barred by FINRA–Misappropriating Client Funds

Timothy Ward of Investment Professionals, Inc. Barred by FINRA–Misappropriating Client Funds 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

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VSR Financial Fined $550,000 For Sale of Alternative Investments

VSR Financial Fined $550,000 For Sale of Alternative Investments 150 150 Robert H. Rex

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

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Eduardo G Diaz Sued by FINRA & Settles Customer Dispute for $250,000

Eduardo G Diaz Sued by FINRA & Settles Customer Dispute for $250,000 150 150 Rex Securities Law

November 2015 UPDATE-Eduardo Diaz Indicted on fraud charges. See this for more September 2013-Gulfport, Mississippi   Eduardo Guillermo Diaz-Update 1/2014: A customer complaint filed in Jackson County Mississippi court against…

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Darrell Frazier-Former MML Investor Services Broker-Discloses 38 Customer Disputes

Darrell Frazier-Former MML Investor Services Broker-Discloses 38 Customer Disputes 150 150 Rex Securities Law

UPDATE July 2016– FINRA records disclose that Darrell G. Frazier has 17 customer disputes pending and 21 customer disputes that are final. Frazier was employed by MML Investors Services from…

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