December 28, 2015- Delray Beach, Florida Geoffrey Schiffrin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with…
read moreJanuary 11, 2016 Robert E. Richards entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance 500,…
read moreDecember 23, 2015- Queensbury, NY The TimesUnion reports that Voya Financial is repaying former clients of Queensbury stock broker Frederick E. Monroe. Monroe, who worked out of the offices of…
read moreJanuary 14, 2016- Tallahassee, Florida The Securities and Exchange Commission (SEC) announced fraud charges against 11 former board members and executives of Birmingham, Alabama- based Superior Bank, which failed in…
read moreJanuary 15, 2016- Austin, Texas The FBI announced that Rose Marie O’Reilly, 63, of La Grange, TX, was sentenced to 48 months in federal prison in connection with a $1,4…
read moreDecember 29 , 2015 Paul J. Savage entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance…
read moreDecember 30 , 2015-Dallas, Texas Jose A. Zapata entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Argentus…
read moreAngleton, TX December 31, 2015 The Financial Industry Regulatory Authority (FINRA) filed a complaint against stockbroker Ricky Randon Moore, alleging that while working for Commonwealth Financial Network in Angleton, Texas,…
read moreDecember 30 , 2015-Dallas, Texas Larry Michael Crabtree entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with WFG…
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