August 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 moreDecember 2020-Amarillo, Texas According to a press release from the Department of Justice, Northern District of Texas, Heather M. Cooper, 40 , a former banker with FirstCapital Bank of Texas…
read moreNovember 2020- Dallas, TX ASHLEY ACCUSED OF MURDERING CLIENT AND STAGING COVERUP TO LOOK LIKE SUICIDE According to Fox4 KDFW news, Nine Band Brewing owner and former Parkland Securities financial…
read moreNovember 2020- Grand Blanc, MI According to publicly available records, former American Portfolios Financial Services, Inc. (APFS) , financial advisor Mark Lewton Hopkins, has been barred from the securities industry by…
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 moreOctober 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc., financial advisor Edward Earl Matthes , discloses 5 regulatory events, a civil event, 15 prior…
read moreJune 2020- Norwalk, CT According to publicly available records, former LPL Financial financial advisor James T. Booth, has been barred from the securities industry by FINRA. He discloses 3 regulatory…
read moreApril 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…
read moreJanuary 2020-Torrington, CT According to publicly available records. Lester William Burroughs (CRD#1413972), a former stockbroker who last worked for Lincoln Investment discloses 2 regulatory events, a criminal charge, a pending…
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