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texas securities attorney

Regulators Fine/Suspend International Assets Advisory Broker Joseph Beagnyam

Regulators Fine/Suspend International Assets Advisory Broker Joseph Beagnyam 150 150 Rex Securities Law

Dickinson, Texas 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…

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Berthel, Fisher & Company, Dallas, TX, Brokers Fined by Securities Regulators

Berthel, Fisher & Company, Dallas, TX, Brokers Fined by Securities Regulators 150 150 Rex Securities Law

Dallas, Texas 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…

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First Southwest Company, Dallas, TX, Fined by FINRA

First Southwest Company, Dallas, TX, Fined by FINRA 150 150 Rex Securities Law

Dallas, Texas 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…

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McKinney Texas Broker Conrad Tambalo Bautista Barred by FINRA

McKinney Texas Broker Conrad Tambalo Bautista Barred by FINRA 150 150 Rex Securities Law

Conrad Tambalo Bautista, a registered representative from McKinney, Texas, submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA (Financial Industry Regulatory…

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FINRA Announces June 2013 Disciplinary Actions

FINRA Announces June 2013 Disciplinary Actions 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. If you have questions about losses in your brokerage…

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SEC Issues Investor Alert: Beware of Private Oil and Gas Offerings

SEC Issues Investor Alert: Beware of Private Oil and Gas Offerings 150 150 Rex Securities Law
On May 2, 2013, the Securities & Exchange Commission (SEC) issued and investor alert on considerations investor should be aware of when investing in private oil &  gas offerings. Follow this link to access the entire document on the SEC website. This warning is much like a similar warning from the North American Securities Administrators Association in March 2013. read more

FINRA Fines Nobles & Richards -Plano,TX-For Inadequate Disclosure on Oil & Gas Private Placements

FINRA Fines Nobles & Richards -Plano,TX-For Inadequate Disclosure on Oil & Gas Private Placements 150 150 Rex Securities Law

Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and limited partnerships. The company was formed in 2007 and its…

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Tenant In Common (TIC) Investors May Be Able to Recover Losses in FINRA Arbitration

Tenant In Common (TIC) Investors May Be Able to Recover Losses in FINRA Arbitration 150 150 Rex Securities Law

During the boom times, pre-2008, broker/dealers (see the extensive list below)  sold billions of tenant-in-common investments (TICs) to retail investors nationwide. These investments, which were touted as having great tax…

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The Tidal Group-Shertz, TX, Fined by FINRA Over Oil & Gas Investments

The Tidal Group-Shertz, TX, Fined by FINRA Over Oil & Gas Investments 150 150 Rex Securities Law

The Tidal Group, a broker-dealer located in Shertz ,TX ,was  fined $20,000 by FINRA in December 2012, for failing to properly identify in private placement offering documents, plugged and abandoned…

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