March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc. failed to supervise Michigan broker Lewis J.…
read moreMarch 3, 2015- Tallahassee, Florida The Florida Office of Financial Regulation (OFR) announced that John Edward Simpson was arrested in Tarpon Springs, Florida, and has been charged with securities fraud,…
read moreFebruary 19, 2015- North Richland Hills, Texas The Texas State Securities Board announced that Charles Wayne Kilway was sentenced to 15 years in state prison for the fraudulent sale of…
read moreFebruary 27, 2015- Ft. Lauderdale, FL The InvestmentNews reports that Newbridge Securities Corp. , which is headquartered in Ft. Lauderdale, Florida, has agreed to pay $850,000 to resolve a class action…
read moreWestport, CT UPDATE APRIL 2017–Donald Saccomano was suspended by FINRA in 4/2017 for failing to respond to a FINRA request for information. FINRA records indicate that he ceased working for Source…
read moreFebruary 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…
read moreUPDATE January 2016–Bliss to serve a year and a day in federal prison for trying to corruptly influence and obstruct the administration of justice in the SEC case. See Department…
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