April 2018-Shreveport, LA Shreveport resident Gregory Alan Smith, 55, and Kirbyjon H. Caldwell, 64, of Houston, TX, were indicted by a federal grand jury in a 13 count indictment for…
read moreMay 2018- Kilgore, TX The FINRA records of Donna L. Barnard , a stock broker formerly employed by HD Vest Investment Services and Signal Securities, disclose 10 pending customer disputes involving the allegedly fraudulent Woodbridge Mortgage Investment…
read moreMarch 2018 The FINRA records of Gil Sharon , a stock broker who is employed by Maxim Group LLC disclose a pending customer dispute and 3 prior customer disputes. The Financial Industry Regulatory…
read moreMarch 2018 The FINRA records of Amadou Bah, a former stock broker who was last employed employed by Maxim Group LLC disclose a regulatory matter resulting in a bar from the securities industry…
read moreMay 2020- San Antonio, TX According to publicly available records Barrett Oliver Schultz (aka Barrett Creed) , (CRD# 2741114) , a stockbroker who is employed by McNally Financial Services, discloses two recently settled…
read moreMarch 2018 – San Antonio, Texas According to publicly available records David Dorn McNally , (CRD# 839798) , a stockbroker who is employed by McNally Financial Services, disclose that he is the subject a…
read moreFebruary 2018-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist Order against Jason A. Gilbert and Parker R. Hallam who are doing business through SourceRock…
read moreSeptember 2019-Murrieta, CA According to publicly available records Matthew J. Werthe, a stockbroker who is not currently registered and who was last employed by Raymond James Financial Services , disclose…
read moreDecember 2017-Boca Raton, FL According to a complaint filed in MIami, FL, by the Securities and Exchange Commission (SEC), Robert H. Shapiro and a group of unregistered investment companies called…
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