June 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…
read moreMay 2019- Lubbock, Texas The FINRA records of William (“Bill”) Hamilton Lowell , a financial advisor who is currently registered with Crescent Securities Group and Lowell & Company , disclose two prior regulatory issues and…
read moreDecember 2016-Lubbock, Texas According to publicly available records Daryl Eugene Allison , (CRD# 3686) , a stockbroker who is registered with Lowell & Company, has been permanently barred by FINRA from engaging in principal…
read moreBaton Rouge, LA UPDATE December 2016-Publicly available records disclose that in December 2016 a customer of Steven Stahler filed FINRA arbitration #16-3594 alleging damages for unsuitable investments in direct investments,…
read moreJuly 10, 2015-Lubbock, TX Jeffery Karl Hobgood entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…
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