texas securities attorney Archives

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

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%,…

Robert Rex, Esq.
February 17, 2016

VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative Investments

VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative 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 17, 2016 October 4, 2023

February 17, 2016 A FINRA (FInancial Industry Regulatory Authority) arbitration panel recently ordered VSR Financial Services to pay a Louisiana couple over $300,000 in damages for losses on non-traded real estate…

Robert Rex, Esq.
February 17, 2016

Investigation of VFG Securities in Plano, Texas- Sale of REITs & Alternative Investments

Investigation of VFG Securities in Plano, Texas- Sale of REITs & Alternative 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 17, 2016 February 17, 2016

February 17, 2016- Plano, Texas Rex Securities Law is investigating VFG Securities, a broker dealer headquartered in Culver City California, with offices in Plano, Texas, in connection with the sale…

Robert Rex, Esq.
February 17, 2016

VFG Securities Named in Regulatory Complaint for Sales of REITs/ Alternative Investments

VFG Securities Named in Regulatory Complaint for Sales of REITs/ Alternative 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 17, 2016 February 17, 2016

UPDATE November 2016-VFG Securities and Jason Vanclef sanctioned by FINRA. February 9, 2016-Plano Texas/ Culver City California The Financial Industry Regulatory Authority (FINRA) filed a complaint No. 2013038283001 against VFG…

Robert Rex, Esq.
February 15, 2016

MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri

MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri 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 15, 2016 February 15, 2016

On February 5, 2016, MidAmerica Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2010-2014, MidAmerica…

Robert Rex, Esq.
February 15, 2016

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, 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 15, 2016 February 15, 2016

February 9, 2016- Plano, Texas William Wesley Marshall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he participated in private securities…

Robert Rex, Esq.
February 12, 2016

Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA

Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA 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 12, 2016 February 12, 2016

February 12, 2016- Crowley, LA Rex Securities Law is investigating Kovack Securities broker Stanley J. Keyes of Keyes Financial Services in connection with customer complaints and a FINRA regulatory matter in 2011. According to FINRA records …

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