financial advisor negligence Archives

Robert Rex, Esq.
September 16, 2021

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2021 September 16, 2021

September 2021- Austin, TX Texas Securities Commissioner Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

Robert Rex, Esq.
July 30, 2021

Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX

Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , 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 July 30, 2021 July 30, 2021

July 2021- Waxahachie, TX According to publicly available records, Legacy Wealth Advisors, a registered investment advisor located in Waxahachie, Texas, was recently reprimanded and fined $15,000 by the Texas State…