July 28, 2015 TD Ameritrade agreed to pay $300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…
read moreAugust 10, 2015-Darlington, South Carolina The South Carolina Office of the Attorney General, Securities Division is hosting a public investor education seminar at noon, Wednesday, August 19th, 2015. Topics to…
read moreJuly 13, 2015 Ingrid Bachelor entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…
read moreJuly 14, 2015-Nokomis, Florida Kelly R. Brantley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…
read moreMay 5, 2015 Cape Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…
read moreJuly 1, 2015 John Allen Brown entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in June 2015 he…
read moreJuly 10, 2015 The Dallas Morning News reports that Justin Spearman, 27, of Winter Park, Florida, has been charged in the Eastern District of Texas with wire fraud in connection…
read moreJuly 2015- Raleigh, North Carolina The North Carolina Securities Division of the Department of the Secretary of State issues a monthly newsletter highlighting recent enforcement actions for securities violations and other…
read moreJuly 13, 2015- Orlando, Florida The FBI announced in a Press Release that Dante S. Giovannetti, 50, of Orlando, Florida, was sentenced to 63 months in federal prison for wire fraud. He was also…
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