September 2019- Plano, Texas According to FINRA records, Richard E. Poston, a broker who formerly worked for H. Beck, Inc. in Plano, Texas , was discharged in December 2015 for failing…
read moreUPDATE-April 2017 The FINRA records of Bruce Meyers, a currently unregistered stock broker who formerly worked for Meyers Associates, now report 19 disclosure events, including 1 pending and 7 final regulatory events, 2…
read moreGarrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator
September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…
read moreJune 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…
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