SEPTEMBER 2018 The FINRA records of Rick A. Davidson, a stockbroker who is currently employed by National Securities Corporation disclose 5 prior customer disputes that that are final and a separation from employment after allegations. The…
read moreSeptember 2016-Helotes, Texas The FINRA records of Daniel A. Cabrera, a stockbroker who is currently employed by BBVA Securities disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreOctober 2016-Moon Township, PA The FINRA records of Gregory R. Bauer, a former stockbroker who most recently was employed by H. Beck, Inc. disclose a final regulatory event and a termination from employment. The Financial Industry Regulatory…
read moreOctober 2016-Ft. Lauderdale, Florida The FINRA records of Ian C. Kass, a former stockbroker who was last employed by Wilson-Davis & Co. discloses a recent employment separation after allegations. In September 2016, the U.S. Attorney’s Office…
read moreOctober 2016 Next Financial Group, Inc. , a stock brokerage firm headquartered in Houston, Texas, recently settled a claim brought by a customer alleging damages of $4,000,000 for breach of…
read moreOctober 2016- Spring, Texas The Texas State Securities Board (TSSB) sanctioned Old Security Financial Group, Inc. of Spring, Texas, fining the company $100,000 for selling unregistered investments in a mortgage note…
read moreSeptember 2016- San Antonio, Texas The Texas State Securities Board (TSSB) sanctioned San Antonio investment adviser firm Rubicon Investment Management & Analytics and barred its president Michael Yves Heridia from…
read moreFebruary 2020-Austin, Texas The FINRA records of William F. “Billy” Fox, a stockbroker who is currently employed by First Allied Securities disclose 2 prior customer disputes that are final and one currently pending…
read moreOctober 2016-Tampa, Florida Licensed Texas attorney Perry Don Cortese, 53, of Little River, Texas, was found guilty of conspiracy to commit international money laundering and conspiracy to commit mail and wire…
read more- 1
- 2