March 4, 2016-Oklahoma City, OK The Oklahoma Department of Securities file an Order to Cease and Desist and Notice of Opportunity for Hearing in the matter of Houston-based ThinAir Wireless,…
read moreMarch 10, 2016-Norman, Oklahoma The Oklahoma Securities Commission entered a permanent injunction against 2001 Trinity Fund LLC and Robert Arrowood, of Norman, OK, who was accused of operating a Ponzi…
read moreMarch 10, 2016- Cincinnati, Ohio Kenton K. Gearhart entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Merrill…
read moreFebruary 26, 2016- St. Petersburg, FL Raymond James & Associates and Raymond James Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…
read moreDallas, Texas Former VSR Financial Services broker Keith E. Chapman of Chapman Wealth Management discloses a customer dispute related to the sale of limited partnerships, direct investments, equipment leasing investments and real estate securities. (Alternative…
read moreLewisville, Texas Rex Securities Law is investigating Grady R. Jones, a broker who is currently unregistered but who was previously registered as follows: Emerson Equity …
read moreSarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…
read moreSouthlake, Texas Rex Securities Law is investigating former VSR Financial Services broker Brian C. TIllotson (VIrtus Wealth Management) in connection with the sale of unsuitable real estate investments during the time he was employed by…
read moreFebruary 2017- Eastland, Texas Rex Securities Law is investigating former VSR Financial Services broker James Roy Kennedy of the Smart Money Group and Kennedy Financial Services in connection with the sale of unsuitable investments, including real…
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