stockbroker malpractice Archives

Robert Rex, Esq.
February 23, 2016

Promoters & Executives of Sterling Currency Group Indicted on Alleged Iraqi Dinar Scam

Promoters & Executives of Sterling Currency Group Indicted on Alleged Iraqi Dinar Scam 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 23, 2016 February 23, 2016

February 22, 2016- Atlanta, Georgia The US Attorney’s Office for the Northern District of Georgia announced the indictment of Tyson Thame, James Shaw, Terrence Keller and Frank Bell in connection…

Robert Rex, Esq.
February 23, 2016

Fred Davis “Dave” Clark Sentenced to 40 Years- Cay Clubs Scam-Key West, FL

Fred Davis “Dave” Clark Sentenced to 40 Years- Cay Clubs Scam-Key West, 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 February 23, 2016 February 23, 2016

February 23, 2016- Key West, Florida Fred Davis “Dave” Clark, Jr. , 57, was sentenced 40 years in federal prison on bank fraud and obstruction charges in what U.S. Attorney Jerrob…

Robert Rex, Esq.
February 22, 2016

Dallas Broker Wade Lawrence Named in New SEC Complaint

Dallas Broker Wade Lawrence Named in New SEC Complaint 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 22, 2016 February 22, 2016

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

Robert Rex, Esq.
February 22, 2016

How To Recover Losses on United Development Funding Investments.

How To Recover Losses on United Development Funding Investments. 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 22, 2016 February 22, 2016

February 22, 2016 United Development Funding IV announced today in a filing with the Securities & Exchange Commission that the FBI raided their office in Grapevine last week and that…

Robert Rex, Esq.
February 22, 2016

LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer

LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer 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 22, 2016 February 22, 2016

February 18, 2016- The Texas State Securities Board reprimanded LPL Financial and ordered the company to pay a $95,000 fine for supervisory failures that led to one of their brokers…

Robert Rex, Esq.
February 22, 2016

Brokerage Firm Rankings by Total Revenue-2015- The Investment News

Brokerage Firm Rankings by Total Revenue-2015- The Investment News 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 22, 2016 February 22, 2016

February 22, 2016 The Investment News recently announced 2015 Broker Dealer rankings, by Total Revenue. Firm Total revenue ▼ 1 LPL Financial LLC $4,293,898,569 2 Ameriprise Financial Services Inc. $3,738,344,789…

Robert Rex, Esq.
February 22, 2016

Texas REIT United Development Funding IV Receives Grand Jury Subpoena Following FBI Raid

Texas REIT United Development Funding IV Receives Grand Jury Subpoena Following FBI Raid 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 22, 2016 February 22, 2016

February 22, 2016- Grapevine, Texas United Development Funding IV (UDF IV) reports that they have been subpoenaed to turn over company documents to a grand jury. In an SEC filing…

Robert Rex, Esq.
February 22, 2016

PTI Securities & Futures LP Facing Sanctions by Texas State Securities Board

PTI Securities & Futures LP Facing Sanctions by 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 22, 2016 February 22, 2016

February 8, 2016- Austin , Texas The Texas State Securities Board (TSSB) has filed a Notice of Hearing to determine whether PTI Securities & Futures, L.P. should by reprimanded and…

Robert Rex, Esq.
February 22, 2016

Ronald Harrison-Former GWN Securities Broker-Sanctioned by Regulator-Carrollton, TX

Ronald Harrison-Former GWN Securities Broker-Sanctioned by Regulator-Carrollton, 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 February 22, 2016 February 22, 2016

February 16, 2016- Carrollton, Texas The Texas State Securities Board (TSSB) has suspended Ronald Eugene Harrison of Carrollton, Texas, for 90 days and assessed a fine of $5,000 to resolve…

Robert Rex, Esq.
February 19, 2016

United Development Funding Offices Raided by FBI- Grapevine, Texas

United Development Funding Offices Raided by FBI- Grapevine, 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 February 19, 2016 February 19, 2016

February 19, 2016- Grapevine, Texas The FBI raided the offices of United Development Funding (UDF) yesterday causing the shares of its largest fund United Development Funding IV to fall over 50%,…

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