fbpx

Crescent Securities Group

Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas

Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas 150 150 ER

Crescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…

read more

Stephen Hoshimi -Former Crescent Securities Group Broker- Discloses $23M+ in Settled Customer Disputes- Dallas, TX

Stephen Hoshimi -Former Crescent Securities Group Broker- Discloses $23M+ in Settled Customer Disputes- Dallas, TX 150 150 Rex Securities Law

April 2019- Dallas, TX According to public records of Stephen J. Hoshimi  (CRD#1977772)  a  stockbroker previously employed by Crescent Securities Group, Capwest Securities and Securities America, disclose 4 regulatory events,…

read more

Bill Lowell of Lowell & Company- Discloses $375K Settlement of Customer Suit-Lubbock, TX

Bill Lowell of Lowell & Company- Discloses $375K Settlement of Customer Suit-Lubbock, TX 150 150 Rex Securities Law

May 2019- Lubbock, Texas The FINRA records of William (“Bill”) Hamilton Lowell ,  a  financial advisor who is currently registered with Crescent Securities Group and Lowell & Company ,  disclose two prior regulatory issues and…

read more

This site is protected by wp-copyrightpro.com