March 21, 2016 The Bradford companies, including Bradford Exploration, Inc. , Bradford Energy, LLC and Bradford Energy Capital have been general partner of more than 40 limited partnerships which raised…
read moreMarch 21, 2016- Austin, Texas The Texas State Securities Board (TSSB) entered an order revoking the registration of Fort Worth investment adviser James Poe as well as his company, James…
read moreMarch 19, 2016-Las Vegas A jury in Las Vegas found Anton Paul Drago guilty on 10 charges including conspiracy, fraud and theft of government funds, Drago, together with co-defendant, Joseph…
read moreMarch 2016 According to FINRA records, Citadel Securities has a number of regulatory sanctions over the recent years, including the following: October 2015 FINRA Sanction- The firm used a trading logic that…
read moreMARCH 2016-After the dramatic collapse of oil prices in the past year, it is apparent that a 2013 SEC investor alert, which we discussed nearly three years ago, was something investor would…
read moreMarch 16, 2016-Uniondale, New York Beyn’s Excessive Trading Generated Commissions of $1.7M The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Craig Scott Capital broker Edward Beyn alleging…
read moreUPDATE MARCH 2017– Thomas Schober, formerly a broker with SII Investments discloses a pending customer dispute and two prior customer disputes that have been resolved. All of the disputes relate…
read moreMarch 2016 With oil down 60% from just a year ago, it is no surprise that investments in oil and gas have followed a similar path, generating significant losses in…
read moreSeptember 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…
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