texas securities fraud lawyer Archives - Page 7 of 93

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February 28, 2023
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Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX

Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 28, 2023 February 28, 2023

Raymond Jennison, Jr. Investigation February 2023-Dallas, TX According to publicly available records, Raymond Jennison, Jr. a former broker who last worked for First Canterbury Securities, Inc., discloses a final regulatory matter…

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February 28, 2023
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Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX

Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 28, 2023 February 28, 2023

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities, discloses a final regulatory matter resulting…

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February 28, 2023
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Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX

Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 28, 2023 February 28, 2023

Ernest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch, discloses a final regulatory matter resulting in a permanent…

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February 28, 2023
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Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX

Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 28, 2023 February 28, 2023

Kyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren, a stock broker previously employed by NYLife Securities, disclose 2 regulatory events and a termination from employment. The…

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February 27, 2023
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Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX

Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Derick Strickland Investigation February 2023 – Houston, TX According to publicly available records Derick Strickland,a former broker who last worked for Allstate Financial Services, discloses a final regulatory matter resulting in…

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February 27, 2023
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Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX

Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Roberts,a former broker who last worked for Spire Securities, discloses a final regulatory matter resulting in a…

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February 27, 2023
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Scott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX

Scott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Scott Burford Investigation February 2023-Dallas, TX The FINRA records of Scott Burford , a Hilltop Securities Network Securities, Inc., broker disclose a regulatory matter and a termination. The Financial Industry Regulatory…

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February 27, 2023
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Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX

Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Michael Witt Investigation February 20, 2023- Plano, TX The FINRA records of Michael Witt, an Ameriprise Financial Services broker, disclose 2 regulatory events and a termination. The Financial Industry Regulatory Authority (FINRA) is…

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February 27, 2023
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William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX

William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

William Huthnance Investigation February 2023-Houston, TX The FINRA records of William Huthnance, a UBS Financial Services broker, discloses 2 past customer disputes and 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…