April 2018-Richardson, TX Reef Securities Inc. and its owner and president Frank Mauceli were sanctioned by FINRA on April 11, 2018, for failing to timely notify investors in an Oil…
read moreApril 2, 2018 Houston based EV Energy Partners, L P (EVEP) , an oil and gas master limited partnership (MLP) has filed for Chapter 11 bankruptcy protection. According to a…
read moreMarch 2018-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…
read moreJULY 2018 UPDATE-Stephenville, TX According to publicly available records Tom “Gil” Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed by Ameriprise Financial Services discloses 6…
read moreJanuary 2018-Las Cruces, NM The FINRA records of Jeffrey Randolph Wilson , a stockbroker who is currently registered with Wells Fargo Clearing Services disclose a currently pending customer dispute over energy investments , a…
read moreDecember 2017-San Antonio, Texas – Corona, California We are investigating former H. Beck , Inc. stockbroker George J. Oldoerp in connection with a FINRA arbitration which we have filed on…
read moreDecember 2017–Austin, Texas We are investigating former VSR Financial Services broker Lisa A. Allen (Lisa Ann Fowler) in connection with the sale of various direct investments including real estate securities and limited partnership interests. According…
read moreTimothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA
November 2017-New Orleans, LA According to FINRA records, without admitting or denying the findings, Timothy T. Gibbons , a former Morgan Stanley broker, entered into an agreement with FINRA to resolve allegations that…
read moreDecember 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) , a stockbroker who is currently employed by Wells Fargo is the subject of a currently pending customer dispute. He discloses the settlement…
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