Oppenheimer Archives

Robert Rex, Esq.
March 24, 2016

Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia

Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 24, 2016 March 24, 2016

MARCH 2017 UPDATE-Investigation of Jeremy D. Hare – Philadelphia, PA According to FINRA records, Jeremy Hare has been named in 19 customer disputes, 2 of which are still pending. He has…

Robert Rex, Esq.
March 7, 2016

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 7, 2016 March 7, 2016

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

Robert Rex, Esq.
February 22, 2016

Dallas Broker Wade Lawrence Named in New SEC Complaint

Dallas Broker Wade Lawrence Named in New SEC Complaint https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 22, 2016 February 22, 2016

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

Robert Rex, Esq.
January 22, 2016

Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX

Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 22, 2016 January 22, 2016

January 21, 2016 – Dallas Texas Former Southwest Securities broker Wade J. Lawrence was sentenced to three years in prison for fraud, according to the Dallas Morning News. According to…

Robert Rex, Esq.
January 11, 2016

FINRA Fines Firms for Violations in 2015

FINRA Fines Firms for Violations in 2015 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 11, 2016 January 11, 2016

January 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…

Robert Rex, Esq.
September 16, 2015

Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud

Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2015 September 16, 2015

September 15, 2015–Dallas, Texas In a Press Release, the FBI reports that Wade Lawrence, 43, of Dallas faces up to five years in prison for securities fraud in connection with offering…

Robert Rex, Esq.
June 26, 2015

South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 26, 2015 June 26, 2015

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

Robert Rex, Esq.
June 15, 2015

Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 15, 2015 June 15, 2015

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

Robert Rex, Esq.
June 3, 2015

Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator

Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 June 3, 2015

March 11, 2015, Seabrook, Texas Royce O. Simpson, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide written…