September 2019- Chatham, NJ According to publicly available records Michael Bressman , a currently unregistered stockbroker, who was last registered with FCG Advisors, discloses a pending investigation, a pending civil event,…
read moreFebruary 2019-Tampa, FL The U.S. Securities & Exchange Commission (SEC) issued a litigation release on 2/21/2019 charging Spartan Securities Group, Ltd. , Island Capital Management, LLC, Carl E. Dilley, Micah…
read moreApril 2017- Washington, DC The U. S. Securities and Exchange Commission issued an Investor Alert warning that articles on an investment research website appearing to be an unbiased source of…
read moreUPDATE JUNE 2017-FINRA records disclose that Lek Securities has 20 currently pending regulatory events and 7 prior regulatory events. March 27, 2017 Lek Securities and its CEO Samuel F. Lek…
read moreFebruary 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) , a former stockbroker who was last employed by BAC Florida Investments, disclose a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…
read moreUPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…
read moreFebruary 22, 2016- Grapevine, Texas United Development Funding IV (UDF IV) reports that they have been subpoenaed to turn over company documents to a grand jury. In an SEC filing…
read moreDecember 15, 2015- Dallas, Texas The FBI reports that Martin Cantu, 59, of San Antonio, TX, was sentenced to 35 months in federal prison and ordered to surrender his law license…
read moreJuly 14, 2015-Washington DC The Securities and Exchange Commission (SEC) charged 15 individuals and 19 companies in a penny stock pump and dump scheme. The SEC complaint alleges that Moneyline…
read more- 1
- 2