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texas securities fraud lawyer

James Warr of Austin Sentenced to 15 Years for Fraud
James Warr of Austin Sentenced to 15 Years for Fraud 150 150 Rex Securities Law

January 2018 Update-James E. Warr was convicted of Texas securities fraud and other felonies, including money laundering, and sentenced to 15 years in prison. July 16, 2015-Austin, Texas James Elton…

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Former Lowell and Company Broker From Lubbock Sanctioned by Regulators
Former Lowell and Company Broker From Lubbock Sanctioned by Regulators 150 150 Rex Securities Law

July 10, 2015-Lubbock, TX Jeffery Karl Hobgood  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…

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Former Wunderlich Securities Broker Sanctioned By Regulators-Plano
Former Wunderlich Securities Broker Sanctioned By Regulators-Plano 150 150 Rex Securities Law

July 10, 2015-Dallas, TX Joseph C. Schroeder entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: violated NASD Rule…

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Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas
Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas 150 150 Rex Securities Law

July 10, 2015 The Dallas Morning News reports that Justin Spearman, 27, of Winter Park, Florida, has been charged in the Eastern District of Texas with wire fraud in connection…

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Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX
Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Rex Securities Law

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

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Understanding Annuities–Help for Investors from Texas Department of Insurance
Understanding Annuities–Help for Investors from Texas Department of Insurance 150 150 Rex Securities Law

The Texas Department of Insurance provides an Information Center on their website as a resource for investors and consumers. Investors considering the purchase of an annuity can learn a great…

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San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board
San Antonio Oil & Gas Promoter Shut Down by Texas State Securities Board 150 150 Rex Securities Law

June 23, 2015-Austin, Texas John Morgan, Texas Securities Commissioner, entered a Cease and Desist Order against Petro-San Resources LLC and Sean Patrick Riley of San Antonio, Texas, alleging that they…

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SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud
SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud 150 150 Rex Securities Law

June 18, 2015 The Securities and Exchange Commission (SEC) filed an action charging Norstra Energy, based in Southlake, Texas and its CEO Glen Landry with defrauding investors about reserve estimates…

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First Independent Financial Services Broker Sanctioned by Regulators-Dallas
First Independent Financial Services Broker Sanctioned by Regulators-Dallas 150 150 Rex Securities Law

June 12, 2015 James Michael Ham  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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