May 2017-Southlake, TX The FINRA records of Patrick D. Combs , a stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…
read moreJuly 2016- Dallas, TX FINRA Department of Enforcement filed Disciplinary Proceeding 2015046926801 against Neal Charles Moon (CRD 3271716) and his wife Natalie E. Fogiel Moon (CRD 5010360) alleging that from…
read moreNovember 2016-Highland Park, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…
read moreUPDATE February 2017– Lizabeth Beth Ty, also known as Lizabeth Gotuaco Ty discloses that another customer of Park Avenue Securities has filed a FINRA arbitration (case #17-429) alleging damages of…
read moreOctober 2016-Ft. Lauderdale, Florida The FINRA records of Ian C. Kass, a former stockbroker who was last employed by Wilson-Davis & Co. discloses a recent employment separation after allegations. In September 2016, the U.S. Attorney’s Office…
read moreOctober 2016- Spring, Texas The Texas State Securities Board (TSSB) sanctioned Old Security Financial Group, Inc. of Spring, Texas, fining the company $100,000 for selling unregistered investments in a mortgage note…
read moreJuly 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a currently unlicensed stockbroker who last worked for Primex , disclose a prior regulatory event and 2 prior…
read moreJericho, New York According to FINRA records, Kenley Brisard , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter, a final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…
read moreMarch 4, 2016-Oklahoma City, OK The Oklahoma Department of Securities file an Order to Cease and Desist and Notice of Opportunity for Hearing in the matter of Houston-based ThinAir Wireless,…
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