August 2017-Austin, Texas Travis J. Lies was appointed Securities Commissioner of the Texas State Securities Board (TSSB) effective September 1, 2017. Lies has worked for the TSSB for 16 years and…
read moreUpdated January 2019-Chicago According to publicly available records Daniel John Haugh (CRD#2162854) , a stockbroker who currently is the chief compliance officer of PTI Securities & Futures , disclose a recent regulatory event…
read moreJune 2017 -Austin, TX The Texas State Securities Board entered a disciplinary order against Chicago-based PTI Securities & Futures for transferring nearly $100,000 from a 75 year old Texan’s IRA…
read moreJune 2017-Beaumont, Texas Lawrence A. DeShetler, a certified financial planner from the the Woodlands, Texas, pleaded guilty mail fraud according to a release from the Department of Justice for the…
read moreMay 2017-San Antonio, TX The FINRA records of Marie P. Goforth , a stockbroker who is currently employed by Capital Financial Service disclose 2 prior customer disputes and a termination from employment. The…
read moreApril 2017-Frisco, Texas A Texas State Securities Board (TSSB) news release reports that Mark Christopher Parman has been sentenced to six years in state prison after pleading guilty to securities fraud…
read moreDecember 2016-Georgetown, Texas The FINRA records of Michael Ramon Delao, a stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…
read moreNovember 2016-Dallas, Texas Susan Gay Pruitt, 45, pleaded guilty to money laundering and theft of more than $200,000 and was sentenced to 22 years for selling phony oil and gas…
read moreOctober 2016-Gunter, Texas The Texas State Securities Board (TSSB) entered an order suspending the investment adviser registration of Jens Pinkernell and his company J. Pinkernell Global Wealth, LLC for five years.…
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