May 2018 Update–Charlotte Guin is subject of $10M suit. Follow this for more information. Original Post-August 5, 2015– Huffman, Texas Charlotte Ann Guin , entered into a Letter of Acceptance Waiver and Consent…
read morePatrick L. Garrett , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…
read moreJuly 20, 2015- San Antonio, Texas Andrew Joseph Thomas , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…
read moreJuly 24, 2015- Port Orange, Florida Dennis Ray Roberts , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed…
read moreJuly 1, 2015 Hector Perez , a/k/a Bruce Johnson , entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…
read moreJuly 2, 2015- San Antonio, Texas Emily A. Pena , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal…
read moreJuly 10, 2015- Bradenton, Florida Jose Luis Palacio , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to timely…
read moreJuly 9 , 2015- Plano, Texas Dylan Patrick Grayson , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…
read moreJuly 13, 2015- Lantana, Florida Ingrid M. Batchelor , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged…
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