December 5, 2014-Katy, Texas Henry McLain Dickinson, III entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between September 2009 and November…
read moreDecember 31, 2014-Houston, Texas Sanders Morris Harris, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, as a…
read moreFebruary 13, 2015 OneAmerica Securities, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…
read moreFebruary 13, 2015-Racine, Wisconsin Michael F. Cuccia entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents, made loans…
read moreFebruary 12, 2015- South Carolina South Carolina Securities Commissioner Alan Wilson revoked the registration of WR&A Financial Services, Inc. of Charleston, South Carolina, and assessed a $10,000 fine for failing…
read moreFebruary 11, 2015 The U.S. Securities & Exchange Commission (SEC) filed a complaint alleging the sale of unregistered securities against the following defendants: Caledonian Bank Ltd. Caledonian Securities Ltd. Clear…
read moreFebruary 13, 2015-West Palm Beach, Florida The InsuranceNewsNet.com reports that former Lake Worth, FL, financial planner Michael Hardman was convicted of first and second degree grand theft for bilking investors…
read moreFebruary 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…
read moreFebruary 13, 2015- Sherman, Texas The Dallas Morning News reports that a jury took less than an hour to return a verdict of guilty on all counts in the fraud…
read more