January 22, 2016- Austin, Texas
Harvey B. Vaughn, Jr. was named in a disciplinary proceeding ( #2015045409001) filed ty the Financial Industry Regulatory Authority (FINRA) alleging that he willfully failed to timely amend his Form U4 to disclose that he had filed a bankruptcy petition in the U.S. Bankruptcy Court for the Western District of Texas (Austin).
The complaint also alleges that Vaughn failed to timely amend FINRA reporting forms to disclose an unsatisfied federal tax lien. The complaint seeks monetary sanctions and other relief.
FINRA records indicate that Vaughn was most recently registered as follows:
- 8/2015-11/2015 Columbus Advisory Group
- 7/2015-11/2015 LPS Partners
- 5/2015-7/2015 Odeon Capital Group
- 7/2014-5/2015 Transcend Capital
- 1/2003-6/2014 WFG Investments
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Nationwide Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Nationwide Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870
