JUNE 2017- Austin, Texas According to publicly available records Trevor M. Carney (CRD#5657735) , a stockbroker who is employed by Ascendant Alternative Strategies, discloses a recent regulatory event and two outstanding judgment/liens. The Financial…
read moreJune 2017-Beaumont, Texas Lawrence A. DeShetler, a certified financial planner from the the Woodlands, Texas, pleaded guilty mail fraud according to a release from the Department of Justice for the…
read moreMay 2017- Dallas, TX The FINRA records of Joe L. Buckner, a former stockbroker who was last employed by Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from…
read moreMAY 2017-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist May 5th alleging that Raymond Hill and Mark Diaz who are soliciting funds for stock…
read moreMarch 2017-Sherman, Texas Carlton Chadbourne Sayers (‘Chad”), 51, of Dallas was indicted for fraud by a Federal Grand Jury for the Eastern District of Texas according to a press release…
read moreFebruary 2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…
read moreFebruary 2017- Houston, Texas The Texas State Securities Board (TSSB) sanctioned Robert Yrshus (CRD# 858876) of Houston, Texas, suspending him for 60 days and assessing an administrative fine of $5,000. According to the…
read moreDecember 2016- Longview, Texas The Texas State Securities Board (TSSB) sanctioned Bruce Russell Clark (CRD# 2848753) of Longview, Texas, reprimanding him and assessing an administrative fine of $5,000. According to the TSSB…
read moreDecember 2016-Dallas, Texas Wesley Michael Woodyard, 65, pleaded guilty to one count of wire fraud in connection with a $4.6 million fraudulent scheme involving Ace European Insurance Company (ACE). According…
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