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texas securities fraud lawyer

Marcus Parker-Former Wells Fargo Broker-Barred From Securities Industry-Santa Fe, N. Mexico

Marcus Parker-Former Wells Fargo Broker-Barred From Securities Industry-Santa Fe, N. Mexico 150 150 Rex Securities Law

Marcus Parker Investigation October 2021-Santa Fe, New Mexico According to publicly available records Marcus Duane Parker  ,  a  former stockbroker who last worked for Wells Fargo Clearing Services discloses that he has been sued…

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Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ

Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ 150 150 ER

Dale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger,  a broker who last worked for  DMK Advisor Group and prior to that Securities America, …

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NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Rex Securities Law

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX

Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX 150 150 Rex Securities Law

Noel Vincent Investigation-June 2021–Houston, Texas According to publicly available records Noel Ray Vincent, (CRD# 1370987) ,  a  stockbroker who is not currently registered , who formerly worked for Madison Avenue Securities and…

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Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Rex Securities Law

Colorado Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Colorado who have been disciplined by CFP Board…

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Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist 150 150 Rex Securities Law

September 2021- Austin, TX  Texas Securities Commissioner  Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

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Minnesota Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Minnesota Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

Sanctioned Minnesota Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Minnesota who have been disciplined by…

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Wisconsin Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Wisconsin Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

Sanctioned Wisconsin Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Wisconsin who have been disciplined by…

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California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

Sanctioned California Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from California who have been disciplined by…

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