UPDATE APRIL 2017-In October 2016 Thomas Tedeschi was suspended for a week for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA…
read moreApril 17, 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreApril 2016-Trumbull, CT The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreApril 13, 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreApril 12, 2016-Fort Worth, Texas The Securities and Exchange Commission (SEC) filed fraud charges against McKinney, TX based Servergy, Inc. , William E. Mapp III, Caleb J. White and Texas attorney general…
read moreDallas, Texas UPDATE JUNE 2017-David W. Williams discloses that FINRA Case 16-00346, see below, was settled for $250,000 in 12/2016. ORIGINAL POST-April 12, 2016 The FINRA records of David W. Williams,…
read moreDecember 30, 2015-Oklahoma City, OK Carl W. Busch , a broker with WFG Investments, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…
read moreApril 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…
read moreApril 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…
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