New York MAY 2018 UPDATE–The FINRA records of Joshua Feldman disclose settlement of FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…
read moreMinneapolis, MN According to FINRA records, Brandt B. Wendland , a broker who was registered with Feltl & Company from 3/2004-2/2017 and who is now employed by Advanced Advisor Group , disclose a…
read moreMarch 18, 2016-Columbia, South Carolina Legend Securities was named in Administrative Order File Number 14108 filed by the Securities Division of the Office of the Attorney General of South Carolina for…
read moreFebruary 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…
read moreApril 3, 2015 The FBI announced that Matthew Carley, of Bozeman, Montana, was sentenced to 24 months in prison for his role in a stock manipulation scheme involving Ashburn, Virginia,…
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