Southwest Securities (now Hilltop Securities) Archives

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.
February 15, 2016

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas 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 15, 2016 February 15, 2016

February 9, 2016- Plano, Texas William Wesley Marshall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he participated in private securities…

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.
November 19, 2015

Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator

Ameriprise Financial Broker in Plano, TX, 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 November 19, 2015 November 19, 2015

September 24, 2015- Plano, Texas John Joseph Kolinofsky, Jr , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while acting…

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 5, 2015

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 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 5, 2015 June 5, 2015

April 10, 2015-Grapevine, Texas James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…