Oppenheimer & Co. problem

  • Robert Rex, Esq.

Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud
Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

South Carolina Regulators Seek to Take Securities License of Mark Hotton
South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Robert Rex, Esq.

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

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  • Robert Rex, Esq.

Losses on Cushing Royalty & Income Fund ??
Losses on Cushing Royalty & Income Fund ?? 150 150 Robert Rex, Esq.

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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  • Robert Rex, Esq.

Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator
Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 11, 2015, Seabrook, Texas  Royce O. Simpson,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide written…

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