Pamela Anne Wooten (CRD #1313028, Registered Principal, Beaufort, South Carolina) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any…
read moreUPDATED June 2015 Richard Martin Ohlhaber (CRD #2154794, Registered Principal, Keller, Texas) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without…
read moreFlorlena Cortez (CRD #4339441, Registered Principal, El Paso, Texas) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without…
read moreRex Securities Law has been investigating VSR Financial broker Dennis Van Patter and on April 22, 2014, filed a FINRA arbitration against VSR Financial on behalf of one of Van Patter’s former clients. See this for…
read moreRex Securities Law has been investigating VSR Financial broker Dennis Van Patter and on April 22, 2014, filed a FINRA arbitration against VSR Financial on behalf of one of Van Patter’s…
read moreRex Securities Law is investigating Jason Todd Miller who previously worked for Investment Professionals, Inc. (IPI), in Ash Flat, Arkansas. Our client is an elderly widow who was anticipates filing…
read moreUPDATE February 13, 2015– Former investors with Wade J. Lawrence should see this recent posting regarding the investigation of Wade J. Lawrence. (12/8/2013) -According to The Sandstorm Scholar an online news…
read moreIn December 2013, Missouri securities regulators censured Sagepoint Financial and ordered the company to pay disgorgement and restitution of $700,000 to resolve claims that Sagepoint failed to reasonably supervise Guy…
read moreOn March 28, 2014, The Securities & Exchange Commission (SEC) charged Jason A. Halek of Southlake, TX, and Patrick J. Booths of Forth Worth with securities fraud in a…
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