January 2018-Houston, Texas Donna Boyd (formerly Donna Chen) , a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in…
read moreUPDATE OCTOBER 2017– Frisco, TX Former NEXT Financial Group stockbroker, Tye Williams was barred from the securities industry by FINRA for failing to cooperate with regulatory investigation alleging theft of $1M, making…
read moreOctober 2017-San Antonio, TX We are currently investigating Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for…
read moreJANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…
read moreApril 2018-Plano, TX The FINRA records of William W. Marshall , a stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 6 pending customer disputes including at least…
read moreSeptember 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a former stockbroker who was last employed by Girard Securities , disclose a prior regulatory event, 3 prior customer disputes and a…
read moreSeptember 2017 -Wayne, PA According to publicly available records Paul W. Smith (CRD#1070735) , a former stockbroker who was last registered with Bolton Global Capital , disclose a final regulatory event , 7 pending customer…
read moreApril 2017- Palm Bay, FL The FINRA records of William B. Wyman , a former stockbroker who was employed by Royal Alliance Associates disclose a prior regulatory event, a pending customer dispute, two prior…
read moreMay 2017- Dallas, TX The FINRA records of Joe L. Buckner, a former stockbroker who was last employed by Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from…
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