texas securities attorney Archives

Robert Rex, Esq.
March 11, 2016

RIdgewood Energy Fund Investors Paid $60,000 By Transamerica Financial

RIdgewood Energy Fund Investors Paid $60,000 By Transamerica Financial 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 11, 2016 March 11, 2016

December 30, 2015 The FInancial Industry Regulatory Authority (FINRA) reports that clients of Transamerica Financial Advisors broker Bruce A. Slater filed an arbitration (Case 1H-03503) alleging that an investment in Ridgewood…

Robert Rex, Esq.
March 8, 2016

Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX

Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, 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 March 8, 2016 March 8, 2016

UPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…

Robert Rex, Esq.
March 8, 2016

Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales

Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF 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 March 8, 2016 March 8, 2016

December 2, 2015- Boca Raton, FL Summit Brokerage Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…

Robert Rex, Esq.
March 8, 2016

Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds

Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds 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 8, 2016 March 8, 2016

Northville, Michigan The Financial Industry Regulatory Authority (FINRA) reports that Bruce Slater of Transamerica Financial Advisors, Inc. has been named in a FINRA arbitration. According to FINRA, the clients allege…

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.
February 23, 2016

Mexican Man Convicted in El Paso, TX, on $15M Investment Fraud

Mexican Man Convicted in El Paso, TX, on $15M Investment 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 February 23, 2016 February 23, 2016

February 23, 2016- El Paso, Texas CBS 7 reports that Mexican businessman Roberto Trinidad Del Carpio Frescas of Chihuahua was convicted by a federal jury on 24 counts of wire…

Robert Rex, Esq.
February 23, 2016

Larry & Dixie Masino Convicted in Bingo Related Fraud Scheme-Fort Walton Beach, FL

Larry & Dixie Masino Convicted in Bingo Related Fraud Scheme-Fort Walton Beach, 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

UPDATE FEBRUARY 2018-The Pensacola News Journal reports that Larry Masino and Dixie Masino were convicted of wire fraud conspiracy, operating an illegal gambling business and money laundering conspiracy. According to…

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…

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