“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…
read moreTexas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…
read moreShawn Good Investigation June 2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for Morgan Stanley discloses a final regulatory matter resulting in a permanent…
read moreRobinhood Financial Sanctioned by Texas Securities Regulator Austin, TX-June 2023 The Texas State Securities Board (TSSB) entered into a Consent Order with Robinhood Financial LLC, a registered broker dealer headquartered…
read moreTop Investor Threats for 2023 Per NASAA April 2023 The North American Securities Administrators Association (NASAA)represents state and provincial securities regulators in the United States, Canada and Mexico. According…
read moreFraudulent Artificial Intelligence Investment Scheme Target of Texas Securities Regulator Austin, TX-April 2023 The Texas State Securities Board (TSSB) issued an emergency Cease and Desist Order against Bucharest, Romania based…
read morePenrod Financial Group Sanctioned by Texas Securities Regulator March 2023- Austin, TX On February 16, 2023, the Texas State Securities Board (TSSB) entered an order sanctioning Penrod Financial Group, a FINRA registered broker…
read moreRobert Turner Investigation March 2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr. , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 7…
read moreMichael Reither Investigation September 2022- St. Louis, MO According to publicly available records, Michael Earl Reither, who is not currently registered with any FINRA registered broker dealer , discloses a regulatory event,…
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