texas securities fraud lawyer

  • Robert Rex, Esq.

Brian Prasifka-Former Rhodes Securities Broker-Sanctioned by Texas Securities Regulator – Fort Worth, TX
Brian Prasifka-Former Rhodes Securities Broker-Sanctioned by Texas Securities Regulator – Fort Worth, TX 150 150 Robert Rex, Esq.

Brian Prasifka Investigation June 2023- Fort Worth, TX The FINRA records of  J. Paul Brian Prasifka,  a  stockbroker currently  employed by Gradient Securities disclose a recent sanction by Texas securities Regulators.…

read more
  • Robert Rex, Esq.

Texas Securities Regulator Fines Robinhood Financial For System Outages & Faulty Supervision-Austin, TX
Texas Securities Regulator Fines Robinhood Financial For System Outages & Faulty Supervision-Austin, TX 150 150 Robert Rex, Esq.

Robinhood Financial Sanctioned by Texas Securities Regulator  Austin, TX-June 2023 The Texas State Securities Board (TSSB) entered into a Consent Order with Robinhood Financial LLC, a registered broker dealer headquartered…

read more
  • ER

Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL
Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL 150 150 ER

Clinton Byrd Investigation June  2023-Tallahassee, FL According to publicly available records Clinton Byrd, a broker previous employed by Cantella & Co., discloses a regulatory suspension, settlement of a  customer dispute…

read more
  • ER

John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL
John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL 150 150 ER

John “JC” Carroll Investigation June  2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by  Vanderbilt Securities,  discloses a final regulatory matter…

read more
  • ER

Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX
Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX 150 150 ER

Kenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…

read more
  • ER

Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX
Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX 150 150 ER

Chris Arnold Investigation June  2023-Houston, TX According to publicly available records Chris Arnold a former broker who last worked for USCA Securities,  discloses a regulatory matter resulting in a permanent bar…

read more
  • ER

Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY
Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY 150 150 ER

Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott,  discloses a final regulatory matter resulting in…

read more
  • ER

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT
Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 150 150 ER

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter resulting in a…

read more
Enter your
text here
Verified by MonsterInsights