Doc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers November 2021-Fort Worth, TX “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…
read morePatrick L. Brown Investigation October 2021-Montgomery, AL According to publicly available records Ronald F. Metcalf, Jr. , a stockbroker who was previously registered with Merrill Lynch, discloses the recent resolution of a…
read moreSeptember 2021- Austin, TX Texas Securities Commissioner Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…
read moreSeptember 2021- White Settlement, Texas The Texas State Securities Board (TSSB) issued an Emergency Cease and Desist Order against the following Respondents: PB& Associates LLC, a Texas limited liability company…
read moreSeptember 2021- Largo, FL According to publicly available records, Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…
read moreAugust 2021- Greenwood Village, CO According to publicly available records, Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…
read moreAugust 2021 – Houston, Texas According to a press release from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…
read moreNovember 2020- Metairie, LA According to publicly available records, former Commonwealth Financial Network, financial advisor Benjamin Bourgeois, Jr. is barred from FINRA and discloses 3 prior customer disputes, a pending…
read moreNovember 2020- Baton Rouge, LA According to publicly available records, former LPL Financial advisor Patrick Coogan, has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…
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