Securities Enforcement Actions Securities Division- North Carolina Secretary of State Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…
read moreThomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray , a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreRobert Turner Investigation January 2023- Waco, Texas According to publicly available records Robert Turner , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 7 prior customer…
read moreTravis Eiland/ Avantax Wealth Management Investigation August 2022-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest), discloses a…
read moreMichael J. Giannetti Investigation May 2022-McKinney , TX According to publicly available records Michael J. Giannetti, a former broker who last worked for MML Investors Services, discloses a final regulatory matter resulting…
read moreGlenn E. Brandon Investigation May 2022- Birmingham, AL The FINRA records of Glenn Edward Brandon, a former broker who was last employed by BB&T Securities disclose a final regulatory matter resulting…
read moreLyle Davis Investigation May 2022 – Salt Lake City, UT According to publicly attained records, Lyle W. Davis, a stockbroker who is not currently registered and who was last employed…
read moreJorge A. Sonville Investigation April 2022- Miami, FL The FINRA records of Jorge Sonville, a broker with Insigneo Securities who formerly worked for Merrill Lynch, disclose a pending customer dispute and…
read moreAriel Rivero Investigation February 2022-Miami, Florida, USA /Buenos Aires, Argentina We are investigating former Jefferies LLC financial advisor Ariel A. Rivero on behalf of a client residing in Buenos Aires…
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