March 2017 Investors who have suffered losses on United Development IV (UDF IV) may be able to recover damages through FINRA arbitration, a dispute resolution process that is much more…
read moreMay 2017-Plano, Texas According to publicly available records Mark A. Trewitt , (CRD# 1364490) , a stockbroker who works for VFG Securities discloses 4 pending customer disputes and a prior customer dispute that has…
read moreMay 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla , a stockbroker who formerly worked for NEXT Financial , disclose a prior regulatory suspension and five…
read moreMarch 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…
read moreMarch 2017-Sherman, Texas Carlton Chadbourne Sayers (‘Chad”), 51, of Dallas was indicted for fraud by a Federal Grand Jury for the Eastern District of Texas according to a press release…
read moreJuly 2017-New York According to publicly available records Tyre F. Newsome , (CRD# 4812894) , a stockbroker who is currently registered with Windsor Street Capital , disclose a prior customer dispute,…
read moreMarch 2017-New York According to publicly available records filed with the Securities & Exchange Commission, Aegis Capital Corporation is being investigated by three regulatory agencies: FINRA-The Financial Industry Regulatory Authority SEC-Securities &…
read moreFebruary 2017-Coral Gables, FL According to publicly available records Joel H. Kassewitz , (CRD# 1674124) , a stockbroker who is not currently registered discloses one pending and seven prior, final customer disputes.…
read moreFebruary 2017-Delray Beach, FL According to publicly available records Jeffrey J. Drapala , (CRD# 1674124) , a stockbroker who is currently employed by Raymond James Financial Services discloses a pending customer dispute.…
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