February 2018-Dallas, Texas The FINRA records of Kenneth B. Neuner , a stockbroker who was formerly employed by Summit Brokerage Services, VSR Financial Services and TCFG Wealth Management disclose that he was recently barred from…
read moreFebruary 2018-McAllen, TX Cynthia Luna Rodriguez, 45, of Pharr, Texas entered a guilty plea to allegations that she stole more than $1 million from customer accounts at First National Bank…
read moreMay 2019 UPDATE NEXT TO BE PURCHASED BY ATRIA | SANCTIONED OVER MUTUAL FUND SHARES—In January 2019 NEXT Financial Group announced plans to be purchased by private equity backed Atria…
read moreNovember 2019-Dallas, TX Larry Martin Boggs, a former stockbroker who worked for Wedbush Securities and Ameriprise Financial Services in Dallas was permanently barred from the securities industry by FINRA in…
read moreFebruary 2018-Shreveport, LA The FINRA records of Thomas W. O’Brien, a stockbroker who is currently employed by Raymond James & Assoc. disclose 2 pending customer disputes and 2 prior final customer disputes.…
read moreJANUARY 2018-Houston, TX According to publicly available records Charles Albert Dixon Jr. , a former stockbroker with Morgan Stanley was barred by FINRA from acting as a broker or otherwise associating…
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 moreMarch 2019-Stuart, NE The FINRA records of Scott V. Kaup , a stockbroker who was formerly employed by VSR Financial Services disclose 2 pending customer disputes and a prior customer dispute that has…
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