February 2018-Palmer, Massachusetts Kimberly Pine Kitts was recently discharged from Royal Alliance Associates where she had been employed since 4/2004 after receiving notice from a customer’s attorney alleging conversion or misappropriation…
read moreFebruary 2018-Dallas, Texas The FINRA records of Kenneth B. Neuner , a stockbroker who was formerly employed by Summit Brokerage Services, VSR Financial Services and TCFG Wealth Management disclose that he was recently barred from…
read moreJANUARY 2018-Houston, TX According to publicly available records Charles Albert Dixon Jr. , a former stockbroker with Morgan Stanley was barred by FINRA from acting as a broker or otherwise associating…
read moreJanuary 2018-Houston, Texas Donna Boyd (formerly Donna Chen) , a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in…
read moreJanuary 2018-Houston, Texas James Tao, a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in December 2017, which…
read moreUPDATE OCTOBER 2017– Frisco, TX Former NEXT Financial Group stockbroker, Tye Williams was barred from the securities industry by FINRA for failing to cooperate with regulatory investigation alleging theft of $1M, making…
read moreJANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…
read moreOctober 2017-West Palm Beach, FL The FINRA records of Paul Vincent Blum , a stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…
read moreSeptember 2017 -Wayne, PA According to publicly available records Paul W. Smith (CRD#1070735) , a former stockbroker who was last registered with Bolton Global Capital , disclose a final regulatory event , 7 pending customer…
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