October 26, 2015- Austin, Texas U.S. Magistrate Mark Lane entered a final judgment in favor of the SEC against four money managers who promoted scam investments in oil and gas…
read moreSan Antonio, Texas The FBI announced that former Merrill Lynch broker Bruce E. Hammonds, 50, of San Antonio and Boerne, Texas, was sentenced to 57 months in prison for securities…
read moreAugust 13, 2015- Loudon, Tennessee/ Boston, MA Signator Investors, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreAugust 26, 2015- San Antonio, Texas Braymen, Lambert and Noel Securities (BLNS) and Shannon Braymen , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory…
read moreJuly 20, 2015- San Antonio, Texas Andrew Joseph Thomas , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…
read moreJuly 13, 2015- Lantana, Florida Ingrid M. Batchelor , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged…
read moreJuly 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…
read moreJuly 15, 2015- Jeffrey Howard Auerbach , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…
read moreJuly 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
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