texas securities fraud lawyer Archives

Robert Rex, Esq.
January 11, 2016

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities 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 January 11, 2016 January 11, 2016

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

Robert Rex, Esq.
January 11, 2016

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, 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 January 11, 2016 January 11, 2016

November 19, 2015-Georgetown, Texas Betsy Marcom (formerly Betsy Bratton Perryman) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

Robert Rex, Esq.
January 11, 2016

Larry Werbel Indicted for $15M VGTL Securities Fraud

Larry Werbel Indicted for $15M VGTL Securities 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 January 11, 2016 January 11, 2016

1/8/2016- Cleveland, Ohio Larry Werbel, 67, of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…

Robert Rex, Esq.
January 6, 2016

Certified Financial Planning Board Censures Brokers in Houston and Austin

Certified Financial Planning Board Censures Brokers in Houston and Austin 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 January 6, 2016 January 6, 2016

December 29, 2015 The Certified Financial Planning Board recently sanctioned two Texas individuals: Richard Blair, Bee Cave, TX In July 2015, CFP Board’s Disciplinary and Ethics Commission (Commission) issued an…

Robert Rex, Esq.
January 6, 2016

Kansas Businessman Sentenced to Five Years Probation for Oil Lease Scam

Kansas Businessman Sentenced to Five Years Probation for Oil Lease Scam 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 January 6, 2016 January 6, 2016

November 24, 2015- Wichita, Kansas The Topeka Capital-Journal reports that Kansas businessman Paul Carageannis, 56, who had previously entered a plea of no contest to one count of felony fraud…

Robert Rex, Esq.
December 17, 2015

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX

Dennis Van Patter Investigation -First Financial Services Group-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 December 17, 2015 September 29, 2023

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…

Robert Rex, Esq.
December 16, 2015

Texas State Securities Board Fines Carrollton, TX, Investment Adviser

Texas State Securities Board Fines Carrollton, TX, Investment Adviser 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 December 16, 2015 December 16, 2015

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order against Mike Reed Hall of Carrollton, TX, and assessed a fine of $5,000…

Robert Rex, Esq.
December 16, 2015

Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes

Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes 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 December 16, 2015 December 16, 2015

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order suspending investment adviser Marvin M Slater of Dallas, TX, for 90…

Robert Rex, Esq.
December 16, 2015

UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim?

UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim? 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 December 16, 2015 December 16, 2015

UPDATE FEBRUARY 2016- FBI RAIDS UDF OFFICES IN GRAPEVINE, TEXAS—See this for details. December 16, 2015-Grapevine, Texas United Development Funding IV (UDF) , a real estate investment trust (REIT) based…

Robert Rex, Esq.
December 7, 2015

William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX

William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, 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 December 7, 2015 December 7, 2015

JANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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