texas securities fraud lawyer

LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX

LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX 150 150 Robert Rex, Esq.

January 2025- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to…

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Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL

Jesse J. Griffin-Dempsey Lord Smith Broker-Discloses Settlement of Customer Complaints- Palm City, FL 150 150 Robert Rex, Esq.

Updated January 2025 Rex Securities Law is investigating Dempsey Lord Smith  broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including…

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Woodbury Financial Services- Discloses 22 Regulatory Issues/ Fines

Woodbury Financial Services- Discloses 22 Regulatory Issues/ Fines 150 150 ER

Woodbury Financial  Services Investigation WOODBURY FINANCIAL ACQUIRED BY OSAIC FINANCIAL – SEE LINK August 2024 The FINRA records of Woodbury Financial Services,   disclose 22  final regulatory events, 8 prior customer disputes,…

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David Shane Simmons-Former Lincoln Financial Securities Broker-Convicted in Tax Shelter Scheme – Jefferson, NC

David Shane Simmons-Former Lincoln Financial Securities Broker-Convicted in Tax Shelter Scheme – Jefferson, NC 150 150 ER

David Shane Simmons Investigation April 2024-Jefferson, NC UPDATE: On April 25, 2024 the U.S. Department of Justice convicted two tax attorneys and former broker David Shane Simmons of conspiring to…

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Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX

Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX 150 150 Robert Rex, Esq.

April 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order  suspending Jason N. Anderson,…

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StoneX Financial Discloses Numerous Regulatory Sanctions

StoneX Financial Discloses Numerous Regulatory Sanctions 150 150 Robert Rex, Esq.

StoneX Financial Investigation April 2024 -Winter Park, FL According to FINRA records, StoneX Financial discloses 68 sanctions imposed by securities regulators in the United States as well as several other…

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Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX

Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX 150 150 ER

Christine Warner Investigation Feburary 2024-Mount Pleasant, TX According to publicly available records Christine Anne Warner, a Monticello Financial Group broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…

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Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ

Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ 150 150 Robert Rex, Esq.

Francisco Valenzuela Investigation February 2024- Phoenix, AZ  According to FINRA records,  Francisco J. Valenzuela ,  a former broker  who previously worked for Morgan Stanley , discloses 2 regulatory events,  4 prior…

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