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WARNING! PTX SECURITIES INVESTIGATION

Tag Archives: PTX Securities

25
Apr

WARNING! PTX SECURITIES INVESTIGATION

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WARNING!  PTX SECURITIES INVESTIGATION

Investigation of PTX Securities   FINRA recently brought a regulatory action against a Plano, Texas-based brokerage firm named PTX Securities (“PTX”).  FINRA alleged that it failed to conduct adequate due diligence on oil and gas investments between October 2013 and January 2014.  PTX was previously known as Balanced Financial Securities.   FINRA alleged that PTX ...

10.0David P Neuman

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