First Southwest Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…
read moreNovember 4, 2015- Tampa, Florida The FBI announced that Gignesh Movalia was sentenced to 18 months in prison for operating a $9 million investment fraud scheme involving Facebook stock. Movalia…
read moreRichardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records. Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…
read moreOctober 5, 2015-McKinney, Texas The Texas State Securities Board (TSSB) announced that Larry David Eckenrode of McKinney, TX, a three time felon, was arrested September 29, 2015, and charged with…
read moreOctober 19, 2015- Dallas Texas Mark Lee Cleaton, 34, of Rockwell, Texas, was convicted on felony offenses for running a fraud scheme as managing member of North American Capital, LLC…
read moreSeptember 21, 2015-McKinney, Texas Trendon T. Shavers, 33, admitted to running a Ponzi scheme involving bitcoin, a virtual currency, according to the Wall Street Journal. Sentencing is scheduled for February…
read moreSeptember 16, 2015- Dallas/Corsicana, Texas The FBI announced that Sandy Jenkins and his wife, Kay Jenkins, were sentenced on felony charges of embezzlement for stealing $16 million dollars from the…
read moreSeptember 17, 2015- Dallas Texas The Texas State Securities Board (TSSB) announced the indictment of Rodney Lee Wagner and Roger Harvey Wagner of Grand Prairie, Texas, for wire fraud. According…
read moreGarrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator
September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…
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