texas securities attorney Archives

Robert Rex, Esq.
July 17, 2016

Ronnie W. Shaffer-OneAmerica Securities Broker-Discloses Outstanding Judgements/Liens

Ronnie W. Shaffer-OneAmerica Securities Broker-Discloses Outstanding Judgements/Liens 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 17, 2016 July 17, 2016

July 2016- Tyler, Texas The FINRA records of Ronnie W. Shaffer , a stock broker who works for OneAmerica Securities, disclose 7 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

Robert Rex, Esq.
July 12, 2016

Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales

Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales 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 12, 2016 July 12, 2016

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. ORIGINAL POST-July 2016- San Antonio, Texas The FINRA records of Dion R. Padilla , a stock broker currently employed by NEXT…

Robert Rex, Esq.
July 11, 2016

Andrew D. Tomlinson-Geneos Wealth Broker-Discloses $300,000 Customer Dispute

Andrew D. Tomlinson-Geneos Wealth Broker-Discloses $300,000 Customer Dispute 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 11, 2016 July 11, 2016

July 2016- Prescott, AZ The FINRA records of Andrew D. Tomlinson III , a stock broker currently employed by Geneos Wealth Management , disclose 3 prior final customer disputes and a currently pending customer dispute .…

Robert Rex, Esq.
July 10, 2016

Ray G. Reese-Money Capital Concepts Broker-Discloses Customer Settlement Over Oil & Gas Investment-Farmington, MO

Ray G. Reese-Money Capital Concepts Broker-Discloses Customer Settlement Over Oil & Gas Investment-Farmington, MO 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, 2016 July 10, 2016

July 2020- Farmington, MO The FINRA records of Ray G. Reese , a stock broker currently employed by Money Concepts Capital Corp , disclose 2 pending and 3 prior final customer disputes. The Financial Industry Regulatory Authority…

Robert Rex, Esq.
July 6, 2016

Marcus Schrenker-Fraudster Who Faked Death-Featured in Financial Fraud Documentary

Marcus Schrenker-Fraudster Who Faked Death-Featured in Financial Fraud Documentary 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 6, 2016 July 6, 2016

Indianapolis The Times, www.NWI.com reports that Marcus Schrenker, a native of Merrillville who faked his own death in 2009 in an attempt to avoid state and federal fraud investigations is…

Robert Rex, Esq.
July 5, 2016

Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry

Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry 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 5, 2016 July 5, 2016

Oklahoma City, OK According to FINRA records, Tonya M. White (aka Tonya M. Nix) , a stockbroker who formerly worked for Edward Jones discloses a final regulatory matter and a separation from employment after…

Robert Rex, Esq.
June 22, 2016

Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ

Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ 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 22, 2016 June 22, 2016

UPDATE APRIL 2017–United Planners Financial Services of America discloses that Eric W. Harding was discharged 10/2016 for “Failure to follow firm procedures and repay amounts owed to the firm.” ORIGINAL…

Robert Rex, Esq.
June 22, 2016

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute 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 22, 2016 June 22, 2016

Fort Worth, Texas According to FINRA records, Marvin T. Petty, Jr. , a stockbroker who works for United Planners Financial Services , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Robert Rex, Esq.
June 22, 2016

Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy Investments

Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy 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 June 22, 2016 June 22, 2016

Dallas, Texas According to FINRA records, Murray B. Roark, a stockbroker who works for Wunderlich Securities , discloses a pending customer dispute and three prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

Robert Rex, Esq.
June 20, 2016

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension 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 20, 2016 June 20, 2016

Austin, Texas According to FINRA records, Rhonda Janeen Matthews (aka Rhonda Allen) , a former stockbroker who most recently worked for Prospera Financial Services , discloses a regulatory event, a termination and 2 outstanding…

Featured Investigations