wfg investments complaints

  • Robert Rex, Esq.

WFG Investments Ignored Red Flags in San Antonio, TX , Branch
WFG Investments Ignored Red Flags in San Antonio, TX , Branch 150 150 Robert Rex, Esq.

May 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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  • Robert Rex, Esq.

Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX
Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX 150 150 Robert Rex, Esq.

UPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…

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  • Robert Rex, Esq.

James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX
James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX 150 150 Robert Rex, Esq.

January 27, 2016- San Antonio, Texas James W. Anderson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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  • Robert Rex, Esq.

Austin, Texas-Former WFG Broker Named In Regulatory Complaint
Austin, Texas-Former WFG Broker Named In Regulatory Complaint 150 150 Robert Rex, Esq.

January 22, 2016- Austin, Texas Harvey B. Vaughn, Jr. was named in a disciplinary proceeding ( #2015045409001) filed ty the Financial Industry Regulatory Authority (FINRA) alleging that he willfully failed…

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  • Robert Rex, Esq.

Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- Dallas, TX
Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- Dallas, TX 150 150 Robert Rex, Esq.

December 30 , 2015-Dallas, Texas Larry Michael Crabtree entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with WFG…

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  • Robert Rex, Esq.

Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board
Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board 150 150 Robert Rex, Esq.

September 4, 2015- Austin, Texas Texas Securities Commissioner John Morgan entered a Disciplinary Order against Dallas based WFG Investments, Inc. , reprimanding and fining the company $175,000 for failing to…

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  • Robert Rex, Esq.

Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator
Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 24, 2015, Plano, Texas  Leslie Lynn King   entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted a…

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