• Robert Rex, Esq.

Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order
Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order 150 150 Robert Rex, Esq.

February 2018-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist Order against Jason A. Gilbert and Parker R. Hallam who are doing business through SourceRock…

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  • Robert Rex, Esq.

Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, TX
Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, TX 150 150 Robert Rex, Esq.

November  2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

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  • Robert Rex, Esq.

Texas Securities Board Appoints New Commissioner-Austin, TX
Texas Securities Board Appoints New Commissioner-Austin, TX 150 150 Robert Rex, Esq.

August 2017-Austin, Texas Travis J. Lies was appointed Securities Commissioner of the Texas State Securities Board (TSSB) effective September 1, 2017. Lies has worked for the TSSB for 16 years and…

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  • Robert Rex, Esq.

Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator
Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator 150 150 Robert Rex, Esq.

July 2017 -San Antonio, TX The Texas State Securities Board  (TSSB)entered a disciplinary order against San Antonio investment adviser Michael Keith Parish for violations of Board Rule 116.17, known as the “custody…

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  • Robert Rex, Esq.

Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL
Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL 150 150 Robert Rex, Esq.

Updated January 2019-Chicago According to publicly available records Daniel John Haugh  (CRD#2162854) ,  a  stockbroker who currently is the chief compliance officer of  PTI Securities & Futures , disclose a recent regulatory event…

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  • Robert Rex, Esq.

PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX
PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX 150 150 Robert Rex, Esq.

June 2017 -Austin, TX The Texas State Securities Board entered a disciplinary order against Chicago-based PTI Securities & Futures for transferring nearly $100,000 from a 75 year old Texan’s IRA…

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  • Robert Rex, Esq.

Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX
Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX 150 150 Robert Rex, Esq.

JUNE 2017- Austin, Texas According to publicly available records Trevor M. Carney (CRD#5657735) ,  a  stockbroker who is employed by  Ascendant Alternative Strategies, discloses a recent regulatory event and two outstanding judgment/liens. The Financial…

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  • Robert Rex, Esq.

Lawrence A. DeShetler-Pleads Guilty to Mail Fraud-Beaumont, TX
Lawrence A. DeShetler-Pleads Guilty to Mail Fraud-Beaumont, TX 150 150 Robert Rex, Esq.

June 2017-Beaumont, Texas Lawrence A. DeShetler, a certified financial planner from the the Woodlands, Texas, pleaded guilty mail fraud according to a release from the Department of Justice for the…

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  • Robert Rex, Esq.

Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX
Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX 150 150 Robert Rex, Esq.

May 2017- Dallas, TX The FINRA records of  Joe L. Buckner,  a  former stockbroker who was last employed by  Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from…

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  • Robert Rex, Esq.

Texas Securities Regulator Issues Order RE: Stock Promoters Impersonating Registered Firm
Texas Securities Regulator Issues Order RE: Stock Promoters Impersonating Registered Firm 150 150 Robert Rex, Esq.

MAY 2017-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist May 5th alleging that Raymond Hill and Mark Diaz who are soliciting funds for stock…

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