June 2017- Montgomery , Texas According to publicly available records Brian Alan Hagen (CRD#5189815) , a stockbroker who currently is employed by D.H. Hill Securities, discloses a termination from employment. The Financial Industry…
read moreJune 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr. (CRD#76936) , a stockbroker who currently is employed by LPL Financial, discloses a currently pending customer dispute and a prior…
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 2019 UPDATE According to a press release issued by the Department of Justice, Thurman Bryant III, 46, of Frisco and Arthur Franz Wammel, 46, of Houston, were found guilty…
read moreMarch 2017- Dallas, TX According to publicly available records First Dallas Securities Inc. (CRD# 24549) , a brokerage firm with about 24 brokers headquartered in Dallas, Texas, discloses a recent regulatory sanction.…
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- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreMay 2017- Sparta, NJ According to publicly available records V. Cullen Kempson III (CRD#1280887) , a stockbroker currently registered with American Portfolios Financial Services, Inc discloses a prior regulatory event and a termination from employment. The…
read moreMay 2017- Santa Barbara, CA According to publicly available records Jason B. Skyler (CRD#4634466) , a stockbroker currently registered with Kovack Securities, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
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