February 2018-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist Order against Jason A. Gilbert and Parker R. Hallam who are doing business through SourceRock…
read moreJULY 2018 UPDATE-Stephenville, TX According to publicly available records Tom “Gil” Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed by Ameriprise Financial Services discloses 6…
read moreJanuary 2018-Las Cruces, NM The FINRA records of Jeffrey Randolph Wilson , a stockbroker who is currently registered with Wells Fargo Clearing Services disclose a currently pending customer dispute over energy investments , a…
read moreJanuary 2018-The Woodlands, Texas We are investigating former Oppenheimer & Co. stockbroker David W. Krumrey who was recently discharged by Oppenheimer for attempting to settle a customer complaint without informing the firm.…
read moreDecember 2017-San Antonio, Texas – Corona, California We are investigating former H. Beck , Inc. stockbroker George J. Oldoerp in connection with a FINRA arbitration which we have filed on…
read moreTimothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA
November 2017-New Orleans, LA According to FINRA records, without admitting or denying the findings, Timothy T. Gibbons , a former Morgan Stanley broker, entered into an agreement with FINRA to resolve allegations that…
read moreDecember 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) , a stockbroker who is currently employed by Wells Fargo is the subject of a currently pending customer dispute. He discloses the settlement…
read moreOCTOBER 2017 If you suffered losses as a result of following your broker’s recommendation to invest in Miller Energy Resources, contact us to find out how you may be able…
read moreApril 2018-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) , a stockbroker who last was employed by Cetera Advisors, and who is not currently registered with any brokerage firm, discloses…
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