JANUARY 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 moreOctober 2017-Austin, Texas / Greenville, South Carolina If you lost money on the Tiburon Saltwater Reclamation Fund, we may be able to help you recover damages. FINRA (The Financial Industry…
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 moreJanuary 2018 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order suspending Jason N. Anderson, a…
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 -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 moreAPRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…
read moreJuly 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…
read moreMay 2017 – Carrollton, TX According to publicly available records Brian K. Hardwick (CRD#4522460) , a former stockbroker who was barred by FINRA from acting as a broker or otherwise associating with firms…
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