July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in Mitchelfield , NY, and three of their brokers…
read moreThe Woodlands, Texas We are investigating the sales practices of Frank Timothy Dunn, Jr. a broker who has been employed by Concorde Investment Services since 10/2014. In publicly available records…
read moreJuly 2017-New York The FINRA records of David G. Menashe , a stockbroker who is currently employed by Newbridge Securities Corp. , disclose a prior regulatory event. The Financial Industry Regulatory Authority…
read moreSeptember 2017 – Daphne, AL According to publicly available records Damian M. Bell (CRD#2348521) , a stockbroker who was previously employed by WFG (Williams Financial Group) Investments, Inc. , disclose 2 pending and 5…
read moreJuly 2017- Dallas, Texas According to the Department of Justice , Wesley Michael Woodyard, 66, was sentenced to 87 months in federal prison for his role in a scheme to defraud…
read moreJuly 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…
read moreJuly 2017- Castle Rock, CO According to publicly available records James K. Pheney (CRD#1272932) , a stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. , disclose a pending customer dispute.…
read moreJuly 2017- Deerfield, IL According to publicly available records Edward Alan Horwitz (CRD#2154232) , a stockbroker currently registered with Western International Securities, Inc., discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreJune 2017-Miami, Florida A federal grand jury in Miami convicted five individuals for their roles in a boiler room securities fraud scheme that defrauded over 700 victims out of $23…
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