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texas securities fraud lawyer

Securities Regulators Offer “Scam Meter” to Help Investors Avoid Making Bad Decision

Securities Regulators Offer “Scam Meter” to Help Investors Avoid Making Bad Decision 150 150 Rex Securities Law

The Financial Industry Regulatory Authority ( FINRA) has a Scam Meter on their website which might help keep investors from making a bad decision. It starts with the age old warning “If it sounds…

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Allen Stanford Guilty – Ponzi Scheme

Allen Stanford Guilty – Ponzi Scheme 150 150 Rex Securities Law
Texas financier Allen Stanford was convicted on 13 of the 14 counts for bilking investors out of $7 billion plus in one of the largest Ponzi schemes on record. The jury deliberated 4 days before finding him guilty of all charges but a single count of wire fraud. … read more

Securities & Exchange Commission Warns Investors to be Wary of Unauthorized Trading In Stock Brokerage Accounts

Securities & Exchange Commission Warns Investors to be Wary of Unauthorized Trading In Stock Brokerage Accounts 150 150 Rex Securities Law
The SEC recently released an alert telling brokers and investment advisers to pay closer attention to unauthorized trading in customer accounts. In the risk alert issued by the nation’s top securities watchdog, the SEC says firms should watch for: Changes in trading patterns High volume of trade cancellations or corrections Manual trade changes Unexplained profits for a particular broker Rogue trades Trades that exceed risk tolerance for a … read more

FINRA BrokerCheck Website Provides Background Information on Stockbrokers

FINRA BrokerCheck Website Provides Background Information on Stockbrokers 150 150 Rex Securities Law

Before entrusting a financial advisor with your Nest Egg wouldn’t you like to know if that broker has a history of customer complaints , sanctions by securities regulators or has been…

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