April 2018-Houston, Texas The Securities and Exchange Commission (SEC) charged the following individuals and their companies with operating a $2.4 million Ponzi scheme targeting elderly retirees: Clifton E. Stanley of…
read moreUpdated November 2018-Sparta, New Jersey The FINRA records of Raymond J. PIrrello, Jr. , a stockbroker who was last employed by Garden State Securities, disclose 2 final regulatory events , 1…
read moreUPDATE FEBRUARY 2018-The SEC barred Daniel T. Fischer indefinitely from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. ORIGINAL POST-January 2018-Melville, New…
read moreAugust 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…
read moreMARCH 2019 UPDATE-The SEC entered a consent judgment against WIlliam Gennity who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts to generate commissions.…
read moreHouston, Texas – July 2017 According to a press release from the US Attorney’s Office for the Southern District of Texas, a second superseding indictment has been issued by a…
read moreJuly 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…
read moreAlpharetta, Georgia AUGUST 2017 UPDATE-The Securities and Exchange Commission (SEC) charged Christopher S. Laws and three other Atlanta area brokers with fraudulently inducing federal employees to roll over holdings in…
read moreMAY 2019 UPDATE According to a press release issued by the Department of Justice, Thurman Bryant III, 46, of Frisco and Arthur Franz Wammel, 46, of Houston, were found guilty…
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