APRIL 2018 UPDATE-$20M customer dispute disclosed by Bill Fenwick, See this for details. April 2017-Louisville, KY The FINRA records of William C. (Bill) Fenwick Jr. , a stockbroker who is currently registered with…
read moreMay 20-17-Houston, Texas The US Attorney’s Office for the Southern District of Texas advises that Allan George Cooper, 76, of Montgomery, TX, was convicted on two counts related to an investment…
read moreMay 2017-New York The FINRA records of George B. Medina , a stockbroker who is currently registered with CV Brokerage Inc. disclose a termination from employment and outstanding judgment/liens . The Financial Industry Regulatory Authority (FINRA) is…
read moreJune 2021-Coral Springs, FL The FINRA records of Todd F. Sherman , a stockbroker who was last registered with Fusion Analytics Securities disclose a regulatory matter resulting in suspension. The Financial Industry…
read moreMay 2017- Flagstaff, AZ The FINRA records of John Kolody, Jr. , a stockbroker who is currently employed by Securities America disclose a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreMAY 2017-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist May 5th alleging that Raymond Hill and Mark Diaz who are soliciting funds for stock…
read moreMay 2017- Plano, Texas The FINRA records of Kyle J. Gardner, a stockbroker who is currently employed by SCF Securities disclose a pending customer dispute for losses on investments in real estate investment trusts (REITs). The…
read moreMay 2017-Austin, Texas Former concert promoter David Elliott Rosen pleaded guilty to securities fraud in Travis County State District Court and was sentenced to 10 years and ordered to pay…
read moreApril 2017- Simi Valley, CA The FINRA records of Steven H. Murphy, a stockbroker who is currently employed by Summit Brokerage Services and was previously employed by VSR Financial Services, disclose a pending customer dispute and…
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