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Legal Articles, Merger & Acquisition

Investor Relations Firm Employee Indicted

On August 26, 2014, the U.S. Attorney’s Office for the Southern District of New York announced charges against Michael Anthony Dupre Lucarelli.

FINRA proposes Pilot Program to Widen Ticket Sizes

The "SEC" announced that the national securities exchanges and the Financial Industry Regulatory Authority ("FINRA") filed a proposal to establish a national market system plan to implement a 12-month pilot program to widen tick sizes for certain stocks with smaller capitalization.

Rule 144's Currenet Public Information Requirement

One of the requirements of Rule 144 is that the issuer have current public information available to the public at the time of the resale.

Fraud-on-the-Market Theory Questioned

Fraud on the Market Theory Questioned

Regulation A and the Reawakening of U.S Entrepreneurship!

There is little doubt that innovation and entrepreneurship are the backbone of this nation.

Update On Dennis Van Patter-VSR Financial Investigation

Rex Securities Law anticipates filing a FINRA arbitration against VSR Financial broker Dennis Van Patter of Plano Texas seeking losses for sale of non-conventional investments.

Inland American Share RePurchase Program--Investors May Wish to Consider FINRA Arbitration

Inland American offers limited share repurchase program. Investors may want to consider filing for arbitration with FInancial Industry Regulatory Authority (FINRA).

RSL Investigates Ash Flat, Arkansas, Broker Jason Todd Miller

Rex Securities Law is investigating Jason Todd Miller, who formerly worked for Investment Professionals in Ash Flat, Arkansas.

Sagepoint Financial Ordered to Pay $700,000 by Securities Regulators

Missouri Securities Regulators fine Sagepoint Financial $700,000 for failure to supervise.

Lawsuit Filed Against Former Southwest Securities Broker Wade Lawrence

Suits filed in Lubbock County against Lawrence Wade

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