April 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…
read moreApril 1, 2016 Candace B. McLeod, 32, of Holt, FL, was sentenced to 75 months in Federal prison according to a release from the US Department of Justice. McLeod had…
read moreMarch 2, 2016-Texarkana, Texas The US Attorney’s Office announced the indictment of eleven individuals on federal charges including conspiracy to commit an offense and to defraud the U.S. government. The…
read moreSeptember 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…
read moreFebruary 24, 2016- Cleveland, Ohio A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered former Summit Brokerage Services stockbroker Larry Werbel , who operated Evolution Partners Wealth Management of Chagrin Falls,…
read moreMarch 15, 2016-Dallas, Texas The Department of Justice announced that Colleyville, Texas, resident David L. Spaulding, 62, has been sentenced to 15 years in federal prison and ordered to pay…
read moreMarch 14, 2016- Fort Myers, Florida The Department of Justice announced today that Dorian Garcia, age 31, was sentenced to 6 and one half years in federal prison for a…
read moreMarch 14, 2016 The Investment News reports that Daniel Thibeault pleaded guilty to criminal charges that he defrauded fund investors of GL Capital Partners out of $15 million by leading…
read moreMarch 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…
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