July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for David Lerner Associates, discloses a regulatory resulting in a suspension and fine…
read moreOctober 2020- The Woodlands, TX According to publicly available records Richard DeYoung, Jr. (CRD#863849), a stockbroker with Wells Fargo Clearing Services, discloses that a FINRA arbitration panel awarded substantial damages…
read moreFebruary 2020 – Sun Lakes, AZ The FINRA records of Steven M. Netzel , a stockbroker who is currently not registered and who previously was employed by Kalos Capital , disclose a currently pending…
read moreSeptember 2019 -Fort Worth, Texas The Texas State Securities Board (TSSB) announced that unregistered investment promoter Jeremy “JB” Yowell is cooperating with the Enforcement Division of the State Securities Board…
read moreNovember 2018, San Antonio, TX All American Oil & Gas Inc. and its subsidiaries, Kern River Holdings Inc., and Western Power & Steam Inc. filed for Chapter 11 Bankruptcy on…
read moreNovember 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl , a stock broker who was, until recently, employed by Wells Fargo Advisors Financial Network , disclose a pending customer dispute and…
read moreJune 2018- Columbia, South Carolina The FINRA records of Jack Wendell Griffith, Jr. , a stock broker who is employed by Janney Montgomery Scott , disclose 3 pending customer disputes, 2 prior customer disputes, and…
read moreMay 2018-Houston, Texas According to FINRA records, Meredith Ann McCutchen , a stock broker who was previously employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent…
read moreApril 2018 Investors owning non publicly traded alternative investments, such as real estate investment trusts (REITs) and oil and gas partnerships may not have been aware of the meaning of illiquid…
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