Timothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records, Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…
read moreBryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records, Bryant E. Caveness, a former broker who was last employed by Ameriprise Financial Services, discloses a recent regulatory matter, 3…
read moreAug 2021-Houston, TX The FINRA records of Lyle J. Boudreaux, a stockbroker who is not currently registered with any FINRA broker dealer and who was last employed in the securities industry by…
read moreDecember 2020-Austin, Texas The Texas State Securities Board (TSSB) announced that they have denied the application for registration of Lyle Boudreaux due to unsuitable trading in Leveraged Exchange Traded Funds…
read moreJune 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 moreMason Gann Investigation September 2022- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed…
read moreFebruary 2018-Oklahoma City, OK According to publicly available records Jay D. Jordan , (CRD# 1776666) , a former stockbroker who last worked for WFG Investments discloses that he was recently permanently barred from the securities…
read moreOctober 2017-Arlington, Texas The FINRA records of Christopher P. Anthony, (CRD #1157930) a stockbroker who is not currently registered and who was last employed by Rhodes Securities, Inc. , disclose a currently pending customer dispute, a prior…
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