Austin Dutton Investigation November 2021–Doylestown, PA The FINRA records of Austin R. Dutton, Jr. , a stock broker who was previously employed by Newbridge Securities and who is currently employed by American…
read moreJuly 2018 UPDATE Investors in Future Income Payments LLC (FIP) who made their investment upon the recommendation of a registered stockbroker, a registered investment advisor, accountant or a licensed insurance…
read moreAugust 2017- Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. was fined $499,000 by Pennsylvania Department of Banking and Securities for failure to supervise a broker…
read moreNovember 2016- Lynnfield, MA Investors Capital Corp. will be closing down and transferring some of its brokers and current clients to another firm within the Cetera network of broker dealers, according…
read moreJuly 2016-Coral Springs, Florida The FINRA records of Stuart Horowitz , a former stock broker employed by Securities America , disclose a prior final regulatory event, 33 prior customer disputes, 4 currently pending customer disputes and a…
read moreThe Financial Industry Regulatory Authority (FINRA) recently fined Berthel Fisher and their affiliate Securities Management & Research $775,000 for supervisory failures related to the sale of various alternative investments, including…
read moreNovember 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…
read moreAugust 9, 2015 Wells Fargo Advisors entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…
read moreJune 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…
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