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Texas State Securities Board

Texas State Securities Board Fines Charles Schwab & Co. $95,000
Texas State Securities Board Fines Charles Schwab & Co. $95,000 150 150 Rex Securities Law

  September 2016- Austin, Texas Charles Schwab & Co. entered into a Consent Order with the Texas State Securities Board (TSSB) and agreed to pay an administrative fine of $95,000 as…

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Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX
Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX 150 150 Rex Securities Law

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

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The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents
The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents 150 150 Rex Securities Law

August 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…

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Stanley Brian Catlin, Weatherford, TX-Fined by State Securities Regulator
Stanley Brian Catlin, Weatherford, TX-Fined by State Securities Regulator 150 150 Rex Securities Law

Weatherford, Texas Stanley Brian Catlin, a CPA and Weatherford ISD school board trustee was fined $6,000 by the Texas State Securities Board (TSSB) for acting as an investment adviser representative…

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Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX
Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX 150 150 Rex Securities Law

Plano, Texas According to FINRA records, Robert M. Kuhn ,  a stock broker who worked for UBS Financial Services from  9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute  and…

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Keith Bradley-VSR Financial, Houston, Texas-Discloses Pending Customer Dispute
Keith Bradley-VSR Financial, Houston, Texas-Discloses Pending Customer Dispute 150 150 Rex Securities Law

Houston , Texas UPDATE December 2016-Keith Bradley’s FINRA records disclose a pending customer initiated claim seeking damages of $100,000 for unsuitable investments and negligence related to Direct Investments, Limited Partnerships, equipment leasing, oil…

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Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX
Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX 150 150 Rex Securities Law

APRIL 2017 UPDATE In October 2016 Wade J. Lawrence was permanently barred by the SEC from acting as a broker, dealer, investment adviser, municipal securities dealer, municipal advisor or transfer…

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Grady R. Jones- Former Emerson Equity/WFG Investments Broker Investigation- Dallas, Texas
Grady R. Jones- Former Emerson Equity/WFG Investments Broker Investigation- Dallas, Texas 150 150 Rex Securities Law

Lewisville, Texas Rex Securities Law is investigating Grady R. Jones, a broker who is currently unregistered but who was previously registered as follows: Emerson Equity          …

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Brian C. Tillotson- Former VSR Financial Broker- Investigation- Southlake, Texas
Brian C. Tillotson- Former VSR Financial Broker- Investigation- Southlake, Texas 150 150 Rex Securities Law

Southlake, Texas Rex Securities Law is investigating former VSR Financial Services broker Brian C. TIllotson (VIrtus Wealth Management) in connection with the sale of unsuitable real estate investments during the time he was employed by…

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