White Plains, New York According to FINRA records, John M. Gregory , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment . The Financial Industry Regulatory Authority (FINRA) is…
read morePlano, Texas According to FINRA records, Charles L. Evans , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment and one final regulatory event. The Financial Industry Regulatory…
read moreUPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records, Wesley “Clint” Smith , a stockbroker who formerly worked for Edward Jones discloses a pending customer dispute, 7 prior customer disputes and one final…
read moreJune 15, 2016-Miami, Florida The US Attorney’s Office for the Southern District of Florida announced that John Utsick, 75, of Miami Beach, FL, pled guilty for his role in a…
read moreJune 14, 2016- Tyler, Texas The US Attorney’s Office for the Eastern District of Texas announced the sentencing of Carol D. Rushton to 36 months of federal probation, a fine…
read moreJune 16. 2016-Charlotte, North Carolina The FBI announced a $5,000 reward for assistance in locating Ronald Earl McCullough who, by portraying himself as a religious leader, was able to over…
read moreUPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…
read moreVienna, VA According to FINRA records, David L. Hannett, Sr. , a stockbroker who works for Invest Financial Corp. discloses a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreAugust 2019-Huntington Beach, CA According to FINRA records, Jack G. Merritt , a stockbroker who works for Crown Capital Securities discloses the settlement of a customer dispute . The Financial Industry Regulatory Authority (FINRA) is…
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