Unregistered Brokers Archives

Robert Rex, Esq.
July 10, 2017

SEC Files Action Over Verto Notes-Dallas & Plano, Texas

SEC Files Action Over Verto Notes-Dallas & 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 10, 2017 July 10, 2017

July 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…

Robert Rex, Esq.
October 25, 2016

Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators

Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators 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 25, 2016 October 25, 2016

October 2016- Spring, Texas The Texas State Securities Board (TSSB) sanctioned Old Security Financial Group, Inc. of Spring, Texas, fining the company $100,000 for selling unregistered investments in a mortgage note…

Robert Rex, Esq.
July 19, 2016

Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL

Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL 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 July 19, 2016 July 19, 2016

July 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a currently unlicensed stockbroker who last worked for Primex , disclose a prior regulatory event and 2 prior…

Robert Rex, Esq.
March 26, 2016

Brian K. Decker Investigation-Legend Securities Broker

Brian K. Decker Investigation-Legend Securities Broker 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 26, 2016 March 26, 2016

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators. ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

Robert Rex, Esq.
March 15, 2016

Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist

Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist 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 15, 2016 March 15, 2016

March 4, 2016-Oklahoma City, OK The Oklahoma Department of Securities file an Order to Cease and Desist and Notice of Opportunity for Hearing in the matter of Houston-based ThinAir Wireless,…

Robert Rex, Esq.
February 24, 2016

Dallas Financial Adviser Fined for Failure to Register with Texas State Securities Board

Dallas Financial Adviser Fined for Failure to Register with Texas State Securities Board 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 February 24, 2016 February 24, 2016

February 24, 2016- Dallas, Texas The Texas State Securities Board (TSSB) has reprimanded and fined Donald Lee Laseter $15,000 for acting as an investment adviser when he was not registered…

Robert Rex, Esq.
January 20, 2016

Ponca City Oklahoma Resident Named in Regulatory Action

Ponca City Oklahoma Resident Named in Regulatory Action 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 January 20, 2016 January 20, 2016

January 20, 2016-Ponca City, Oklahoma THe U S Commodity Futures Trading Commission (CFTC) filed an enforcement action against Kevin J. Davis charging him with acting as an unregistered commodity pool…

Robert Rex, Esq.
December 16, 2015

Texas State Securities Board Fines Carrollton, TX, Investment Adviser

Texas State Securities Board Fines Carrollton, TX, Investment Adviser 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 December 16, 2015 December 16, 2015

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order against Mike Reed Hall of Carrollton, TX, and assessed a fine of $5,000…

Robert Rex, Esq.
December 16, 2015

Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes

Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes 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 December 16, 2015 December 16, 2015

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order suspending investment adviser Marvin M Slater of Dallas, TX, for 90…

Robert Rex, Esq.
November 10, 2015

Michael Collins of Alice, Texas, Indicted for Securities Fraud

Michael Collins of Alice, Texas, Indicted 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 10, 2015 November 10, 2015

October 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…

Featured Investigations