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texas securities attorney

Pamela Wooten-Former Andrew Garrett Broker- Barred by FINRA

Pamela Wooten-Former Andrew Garrett Broker- Barred by FINRA 150 150 Rex Securities Law

   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…

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Richard Ohlhaber-Former Southwest Securities Broker-Barred by FINRA-Southlake Texas

Richard Ohlhaber-Former Southwest Securities Broker-Barred by FINRA-Southlake Texas 150 150 Rex Securities Law

UPDATED 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…

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Florlena Cortez-Former Chase Investment Services Broker- Barred by FINRA-El Paso, TX

Florlena Cortez-Former Chase Investment Services Broker- Barred by FINRA-El Paso, TX 150 150 Rex Securities Law

 Florlena 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…

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Dennis Van Patter Named in Second Arbitration Complaint-Plano Texas

Dennis Van Patter Named in Second Arbitration Complaint-Plano Texas 150 150 Robert H. Rex

 Rex 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…

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Dennis Van Patter-FINRA Arbitration Filed –Plano, Texas

Dennis Van Patter-FINRA Arbitration Filed –Plano, Texas 150 150 Rex Securities Law

Rex 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…

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Rex Securities Law Investigates Former Investment Professionals Inc. Broker Jason Miller

Rex Securities Law Investigates Former Investment Professionals Inc. Broker Jason Miller 150 150 Rex Securities Law

Rex 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…

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Wade Lawrence-Lubbock, Texas–Lawsuit Filed Against Southwest Securities Broker

Wade Lawrence-Lubbock, Texas–Lawsuit Filed Against Southwest Securities Broker 150 150 Rex Securities Law

UPDATE 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…

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Sagepoint Financial Ordered to Pay $700,000 Restitution-Failure to Supervise Guy Weber

Sagepoint Financial Ordered to Pay $700,000 Restitution-Failure to Supervise Guy Weber 150 150 Rex Securities Law

In 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…

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Texas Residents Charged by SEC for Sale of Fraudulent Oil & Gas Investments

Texas Residents Charged by SEC for Sale of Fraudulent Oil & Gas Investments 150 150 Rex Securities Law

  On 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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