December 2016-Georgetown, Texas The FINRA records of Michael Ramon Delao, a stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…
read moreNovember 2016- Dallas, Texas The FINRA records of Jesse B. Shelmire, IV, a stockbroker who is currently employed by Stonegate Capital Markets, Inc. disclose 2 prior regulatory events that are final, a pending investigation and…
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 moreSeptember 2016- San Antonio, Texas The Texas State Securities Board (TSSB) sanctioned San Antonio investment adviser firm Rubicon Investment Management & Analytics and barred its president Michael Yves Heridia from…
read moreOctober 2016-Gunter, Texas The Texas State Securities Board (TSSB) entered an order suspending the investment adviser registration of Jens Pinkernell and his company J. Pinkernell Global Wealth, LLC for five years.…
read moreSeptember 2016-Bee Cave, Texas The FINRA records of Stephen M. Scheurer, a stockbroker who was formerly employed by Century Securities Associates disclose a recent regulatory event with the Texas State Securities Board, 2 prior finalized customer…
read moreSeptember 2016- Austin, Texas Charles Schwab & Co. entered into a Consent Order with the Texas State Securities Board (TSSB) and agreed to pay an administrative fine of $95,000 as…
read moreOctober 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…
read moreAugust 2016- Alice, Texas Michael Anthony Collins pleaded guilty to stock fraud, theft and money laundering and was sentenced to 15 years on each count in Jim Wells County…
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