April 2018 -Dallas, Texas According to publicly available records James (Jim) Williard Clark , a stockbroker who currently is employed by Worth Financial Group, disclose 4 prior regulatory issues, and 2 arbitration awards…
read moreMay 2017-Borger, TX The FINRA records of James D. Calder II, a unregistered stockbroker who was last employed by Raymond James Financial Services disclose a final regulatory event and a customer dispute that has been settled.…
read moreJune 2016-Grapevine, Texas According to FINRA records, Richard M. Ohlhaber , a stockbroker who most recently was employed by FSC Securities Corp., Inc. , discloses two pending customer disputes. He also discloses 3 prior final regulatory events…
read moreMarch 21, 2016- Austin, Texas The Texas State Securities Board (TSSB) entered an order revoking the registration of Fort Worth investment adviser James Poe as well as his company, James…
read moreJune 1, 2015-Dallas/Ft. Worth, Texas Rex Securities Law is investigating Novers Financial, Christopher A Novinger and Brady J. Speers, of Mansfield, Texas, in connection with the sale of life settlements.…
read moreJanuary 9, 2015 Worth Financial Group entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it failed to establish adequate supervisory…
read more