The Woodlands, Texas MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below, was paid $420,000 to settle the matter. ORIGINAL POST JUNE 2016– According to FINRA…
read moreAddison, Texas According to FINRA records, Craig R. Wirth , a stockbroker who currently works for Cambridge Investment Research. discloses an Employment Separation After Allegation event. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreJune 2016—-Beaumont, Texas According to FINRA records, Terry W. Chilton , a stockbroker who formerly was employed by IMS Securities. discloses a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…
read moreHouston, Texas AUGUST 2017 UPDATE-FINRA case 15-2841,-The Board of County Commissioners of the County of Bernalillo New Mexico, sought damages of $17 million From Royce Simpson, Oppenheimer & Co. BOSC, Inc.…
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