March 3, 2015- Tallahassee, Florida The Florida Office of Financial Regulation (OFR) announced that John Edward Simpson was arrested in Tarpon Springs, Florida, and has been charged with securities fraud,…
read moreWestport, CT UPDATE APRIL 2017–Donald Saccomano was suspended by FINRA in 4/2017 for failing to respond to a FINRA request for information. FINRA records indicate that he ceased working for Source…
read moreFebruary 13, 2015 OneAmerica Securities, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…
read moreFebruary 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…
read moreFebruary 13, 2015 Rex Securities Law is investigating Wade James Lawrence who was formerly a stock broker with Southwest Securities in Dallas, Texas, 8/2011-12/2013. Prior to that FINRA records indicate…
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