February 2019- West Point, Georgia We are investigating Leavitt F. Sanders, of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…
read moreMarch 10, 2016- Washington, DC The Securities & Exchange Commission (SEC) charged Oregon based Aequitas Management and its top three executives, CEO Robert J. Jesenik, executive VP Brian A. Oliver,…
read moreDecember 30, 2015 The FInancial Industry Regulatory Authority (FINRA) reports that clients of Transamerica Financial Advisors broker Bruce A. Slater filed an arbitration (Case 1H-03503) alleging that an investment in Ridgewood…
read moreMarch 10, 2016 Rex Securities Law is investigating former Euro Pacific Capital, Inc. broker Neeraj R. Chaudhary on behalf of a former customer who alleges that he was sold investments,…
read moreMarch 9, 2016- Jay Fung, 42, of Delray Beach, FL, pleaded guilty to an information which charged him with conspiracy to commit securities fraud . Fung admitted to an insider…
read moreMarch 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…
read moreUPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…
read moreDecember 2, 2015- Boca Raton, FL Summit Brokerage Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…
read moreThe Financial Industry Regulatory Authority (FINRA) reports that G.A. Repple & Company broker Frederick P. Bremer has been named in an arbitration filed by a client who is seeking damages…
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