September 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…
read moreJune 2017- Hunt Valley, MD According to publicly available records John Scott Simpson (CRD#719367) , a former stockbroker who was last employed by RBC Capital Markets, discloses one regulatory event, a currently pending…
read moreMay 2017 – Carrollton, TX According to publicly available records Brian K. Hardwick (CRD#4522460) , a former stockbroker who was barred by FINRA from acting as a broker or otherwise associating with firms…
read moreMay 2017 – Carrollton, TX According to publicly available records Douglas R. Hardwick (CRD#4522610) , a stockbroker currently not registered, but who was previously registered with Texas Securities, Inc., discloses a pending regulatory…
read moreMay 2017-Houston, TX The FINRA records of John Carolyn, a stockbroker who is employed by UBS Financial Services disclose 5 pending customer disputes involving oil and gas securities and one prior customer dispute. The Financial Industry…
read moreSee this for JULY 2018 UPDATE JULY 2017-Stephenville, TX According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed…
read moreApril 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) , a stockbroker who is currently not registered and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…
read moreApril 2017-Plano, Texas The Securities and Exchange Commission charged Matthew W. Fox of Plano, TX, and his company Wayne Energy with securities fraud in connection with a joint venture formed…
read moreFEBRUARY 2018 UPDATE-Kenneth Neuner barred from securities industry. See this for more details. April 2017-Dallas, Texas The FINRA records of Kenneth B. Neuner , a stockbroker who was formerly employed by VSR Financial Services…
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