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texas securities fraud lawyer

Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ

Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ 150 150 Rex Securities Law

Maxim Beliakov Investigation November  2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group  discloses a regulatory suspension. The…

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Frank Richardson-Former Investacorp Broker-Settles Customer Suit Involving REITs-Houston, Texas

Frank Richardson-Former Investacorp Broker-Settles Customer Suit Involving REITs-Houston, Texas 150 150 Rex Securities Law

Frank Richardson Investigation November 2021-Houston, TX According to publicly available records   William Franklin (“Frank”) Richardson, Jr.  , a  stockbroker who is currently registered with Avantax Investment Services and who was previously…

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Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers

Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers 150 150 Rex Securities Law

Aegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…

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Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX

Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX 150 150 Rex Securities Law

Lawrence Goldstein Investigation November 2021- San Antonio, TX According to publicly available records  Lawrence B. Goldstein (CRD#2282699), a  former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory…

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Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX

Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX 150 150 Rex Securities Law

Gregory F. Estes Investigation July 2021 -San Angelo, TX The FINRA records of Gregory F.  Estes  , a stockbroker who is not currently registered with any broker dealer, and who was last…

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Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK

Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK 150 150 Rex Securities Law

Curt Howard Investigation November 2021-Sapulpa, OK According to publicly available records Curtis Lee Howard ,  a   stockbroker who formerly worked for Edward Jones and who  is currently registered with Level Four Financial,…

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Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX

Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX 150 150 Rex Securities Law

Brad Brooks Investigation November 2021- Addison, Texas The FINRA records of  Brad C. Brooks ,  a   broker who is employed by  Titan Securities  disclose a currently pending regulatory investigation, 6 prior final customer…

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Bill Burks-Centaurus Broker-Discloses Customer Disputes-Flower Mound, TX

Bill Burks-Centaurus Broker-Discloses Customer Disputes-Flower Mound, TX 150 150 Rex Securities Law

Bill Burks Investigation November 2021, Flower Mound, TX According to publicly available records William “Bill”  Burks II , (CRD# 2944992) , a  stockbroker who is registered with Centaurus Financial,  discloses 3 pending customer…

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David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ

David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ 150 150 ER

David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records,  David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…

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