November 2019-Scottsdale, Arizona Conrad Coggeshall has been charged by the Securities and Exchange Commission with fraud. The SEC complaint alleges that Coggeshall raised $700,000 from four elderly investors from April…
read moreNovember 2019- Ft. Lauderdale, FL According to a recent press release from the United States Attorney’s Office for the Southern District of Florida, Michael Jerome Atkins, 60, was arraigned on…
read moreJune 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities financial advisor Kyusun Kim, discloses 19 settled and 4 pending customer disputes and a termination…
read moreMarch 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…
read moreDecember 2018-Melville, New York According to publicly available records Ian Greenblatt (aka Eric Green) , a stockbroker who is currently registered with Capitol Securities Management Inc. disclose a recent regulatory suspension & fine…
read moreAugust 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…
read moreAugust 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon, against American Independent Securities Group…
read moreAugust 2018-Corpus Christi, TX The Texas State Securities Board (TSSB) announced that Gabriel Claudio, Jr. was sentenced in the 79th District Court of Jim Wells County to 25 years to…
read moreJuly 2018 UPDATE Investors in Future Income Payments LLC (FIP) who made their investment upon the recommendation of a registered stockbroker, a registered investment advisor, accountant or a licensed insurance…
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