texas securities fraud lawyer Archives

Robert Rex, Esq.
October 24, 2016

Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and Fraud

Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and 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 October 24, 2016 October 24, 2016

October 2016-Tampa, Florida Licensed Texas attorney Perry Don Cortese, 53, of Little River, Texas, was found guilty of conspiracy to commit international money laundering and conspiracy to commit mail and wire…

Robert Rex, Esq.
October 17, 2016

Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, TX

Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, 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 October 17, 2016 October 17, 2016

October 2016-Gunter, Texas The Texas State Securities Board (TSSB) entered an order suspending the investment adviser registration of Jens Pinkernell and his company J. Pinkernell Global Wealth, LLC for five years.…

Robert Rex, Esq.
October 11, 2016

Brian Alfaro’s Request to Dismiss Fraud Charges Denied-San Antonio, TX

Brian Alfaro’s Request to Dismiss Fraud Charges Denied-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 October 11, 2016 October 11, 2016

October 3, 2016-San Antonio, Texas mySA reports that bankruptcy court judge Craig Gargotta denied Brian Alfaro’s request to dismiss allegations of fraud, civil conspiracy, negligent misrepresentation, and violations of securities…

Robert Rex, Esq.
October 9, 2016

Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX

Texas State Securities Board Fines Stephen Scheurer-Bee Cave, 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 October 9, 2016 October 9, 2016

September 2016-Bee Cave, Texas The FINRA records of Stephen M. Scheurer, a stockbroker who was formerly employed by Century Securities Associates disclose a recent regulatory event with the Texas State Securities Board, 2 prior finalized customer…

Robert Rex, Esq.
October 9, 2016

Texas State Securities Board Fines Charles Schwab & Co. $95,000

Texas State Securities Board Fines Charles Schwab & Co. $95,000 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 October 9, 2016 October 9, 2016

September 2016- Austin, Texas Charles Schwab & Co. entered into a Consent Order with the Texas State Securities Board (TSSB) and agreed to pay an administrative fine of $95,000 as…

Robert Rex, Esq.
October 9, 2016

San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA

San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA 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 October 9, 2016 October 9, 2016

July 2016-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

Robert Rex, Esq.
October 9, 2016

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-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 October 9, 2016 October 4, 2023

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

Robert Rex, Esq.
August 31, 2016

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, 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 August 31, 2016 August 31, 2016

August 2016-New Braunfels, Texas The FINRA records of James E. Mahan, a former stockbroker who most recently worked for Raymond James Financial Services disclose a recent regulatory matter resulting in his permanent…

Robert Rex, Esq.
August 31, 2016

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 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 August 31, 2016 August 31, 2016

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

Robert Rex, Esq.
August 19, 2016

Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator

Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator 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 August 19, 2016 August 19, 2016

Englewood, CO The FINRA records of Steven Ray Hinkle, a stock broker who currently is employed by Neidiger, Tucker, Bruner discloses a final FINRA regulatory event. The Financial Industry Regulatory Authority (FINRA) is the…

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