Texas State Securities Board Archives

Robert Rex, Esq.
October 9, 2016

Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX

Texas State Securities Board Fines Stephen Scheurer-Bee Cave, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 9, 2016 October 9, 2016

September 2016-Bee Cave, Texas The FINRA records of Stephen M. Scheurer, a stockbroker who was formerly employed by Century Securities Associates disclose a recent regulatory event with the Texas State Securities Board, 2 prior finalized customer…

Robert Rex, Esq.
October 9, 2016

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

Texas State Securities Board Fines Charles Schwab & Co. $95,000 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 9, 2016 October 9, 2016

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…

Robert Rex, Esq.
October 9, 2016

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 9, 2016 October 4, 2023

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…

Robert Rex, Esq.
August 15, 2016

Michael Anthony Collins Sentenced to 15 Years for Securities Fraud-Alice, TX

Michael Anthony Collins Sentenced to 15 Years for Securities Fraud-Alice, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 15, 2016 August 15, 2016

August 2016- Alice, Texas Michael Anthony Collins pleaded guilty to stock fraud, theft and money laundering and was sentenced to 15 years on each count in Jim Wells County…

Robert Rex, Esq.
August 3, 2016

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 3, 2016 August 3, 2016

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…

Robert Rex, Esq.
June 15, 2016

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

Stanley Brian Catlin, Weatherford, TX-Fined by State 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 15, 2016 June 15, 2016

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…

Robert Rex, Esq.
June 6, 2016

Allan Cooper Arrested on Investment Fraud-Houston, Texas

Allan Cooper Arrested on Investment Fraud-Houston, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

Houston, Texas The US Attorney’s Office for the Southern District of Texas announced the arrest of Allan George Cooper, 75, of Houston, Texas. Cooper is charged with wire fraud and…

Robert Rex, Esq.
May 26, 2016

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 26, 2016 May 26, 2016

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…

Robert Rex, Esq.
March 23, 2016

Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX

Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 23, 2016 March 23, 2016

March 22, 2016-Austin, Texas Texas Securities Commissioner John Morgan revoked the investment adviser representative registration of Sarah Helen Hancock, of Dallas, TX, effective April 15, 2016. In addition Hancock was…

Robert Rex, Esq.
March 21, 2016

James Poe of Ft. Worth Sanctioned for Sale of Life Settlements

James Poe of Ft. Worth Sanctioned for Sale of Life Settlements https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 21, 2016 March 21, 2016

March 21, 2016- Austin, Texas The Texas State Securities Board (TSSB) entered an order revoking the registration of Fort Worth investment adviser James Poe as well as his company, James…

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