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 6, 2015- Sherman, Texas The FBI announced that Frank Edwin Pate, 47, of Bonham, Texas, was sentenced to 210 months in prison for operating a currency trading scheme. He…
read moreOctober 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…
read moreUPDATE DECEMBER 2016–FINRA records indicate that Robert M. Hinz, Jr. left VSR Financial Services in July 2016 and is not currently registered with any FINRA broker dealer. ORIGINAL POST – Seatlle,…
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…
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