texas securities fraud lawyer Archives

Robert Rex, Esq.
March 23, 2017

Chad Sayers Indicted for Fraud-Dallas, Texas

Chad Sayers Indicted for Fraud-Dallas, 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 March 23, 2017 March 23, 2017

March 2017-Sherman, Texas Carlton Chadbourne Sayers (‘Chad”), 51, of Dallas was indicted for fraud by a Federal Grand Jury for the Eastern District of Texas according to a press release…

Robert Rex, Esq.
March 8, 2017

James C. Hayne-Former Cetera Advisors Broker-Discloses Customer Disputes-Mansfield, Texas

James C. Hayne-Former Cetera Advisors Broker-Discloses Customer Disputes-Mansfield, 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 March 8, 2017 March 8, 2017

February 2017-Mansfield, Texas According to publicly available records James C. Hayne , (CRD# 3257845) , a stockbroker who is not currently registered and who was last employed by Cetera Advisors, discloses…

Robert Rex, Esq.
March 1, 2017

Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX

Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, 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 1, 2017 October 4, 2023

February 2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…

Robert Rex, Esq.
March 1, 2017

Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX

Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, 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 1, 2017 October 4, 2023

February 2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

Robert Rex, Esq.
February 24, 2017

Red River Securities and Brian Hardwick Sanctioned for Fraudulent Oil and Gas Deals-Plano, TX

Red River Securities and Brian Hardwick Sanctioned for Fraudulent Oil and Gas Deals-Plano, 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 24, 2017 February 24, 2017

February 2017- Plano, Texas In a news release dated February 14, 2017, the Financial Industry Regulatory Authority (FINRA) announced that a FINRA hearing panel expelled Plano, Texas based brokerage firm…

Robert Rex, Esq.
February 24, 2017

Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, TX

Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, 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 24, 2017 February 24, 2017

February 2017-Dallas, Texas Patrick O. Howard and two companies he controls, Optimal Economics Capital Partners and Howard Capital Holdings were named in a complaint filed by The Securities and Exchange…

Robert Rex, Esq.
February 22, 2017

Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, TX

Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, 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, 2017 February 22, 2017

July 2016- Dallas, TX FINRA Department of Enforcement filed Disciplinary Proceeding 2015046926801 against Neal Charles Moon (CRD 3271716) and his wife Natalie E. Fogiel Moon (CRD 5010360) alleging that from…

Robert Rex, Esq.
February 21, 2017

Michael J. Spears-IMS Securities Broker-Discloses Two Pending Customer Disputes Involving REITs-Houston

Michael J. Spears-IMS Securities Broker-Discloses Two Pending Customer Disputes Involving REITs-Houston 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 21, 2017 February 21, 2017

February 2017-Houston, Texas According to publicly available records Michael J. Spears , (CRD# 4501523) , a stockbroker who is currently registered with IMS Securities discloses two pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

Robert Rex, Esq.
February 21, 2017

Daryl E Allison-Former Lowell & Co. Broker-Sanctioned by Securities Regulator-Lubbock, TX

Daryl E Allison-Former Lowell & Co. Broker-Sanctioned by Securities Regulator-Lubbock, 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 21, 2017 February 21, 2017

December 2016-Lubbock, Texas According to publicly available records Daryl Eugene Allison , (CRD# 3686) , a stockbroker who is registered with Lowell & Company, has been permanently barred by FINRA from engaging in principal…

Robert Rex, Esq.
February 21, 2017

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, 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 21, 2017 February 21, 2017

North Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…

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