November 2016-Mesa, AZ The FINRA records of Dominic T. DeBruin, a former stockbroker with LPL Financial, disclose that he has been permanently barred from acting as a broker or otherwise associating with…
read moreJuly 2016-Newport News, VA The FINRA records of Steve D. Heath , a stock broker who is currently employed by Capitol Securities Management , disclose 2 terminations and one final financial event. The Financial Industry Regulatory Authority (FINRA) is…
read moreBrent Van Lott Investigation October 2022- Orem, Utah According to FINRA records, Brent Van Lott , a stock broker who is not currently and who was last employed by MHL Investments , discloses a regulatory event,…
read morePlano, Texas UPDATE APRIL 2017-FINRA records reveal that Richard E. Poston is not currently registered as a broker. In July 2016, FINRA case # 16-0766, see below, was settled for…
read moreSeptember 2019- Plano, Texas According to FINRA records, Richard E. Poston, a broker who formerly worked for H. Beck, Inc. in Plano, Texas , was discharged in December 2015 for failing…
read moreUPDATE ON CHARLES FACKRELL-December 2016-Charles Fackrell, 37, of Booneville, N. Carolina was sentenced to 63 months in jail according to the U.S. Attorney’s Office for operating a $1.4 million Ponzi…
read moreThe FBI announced the arrest and extradition of repeat securities fraud offender Edward Durante, also known as: Ted Wise Efran Eisenberg Yulia Ed Simmons Durante was arrested in Germany and…
read moreFebruary 24, 2016- Cleveland, Ohio A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered former Summit Brokerage Services stockbroker Larry Werbel , who operated Evolution Partners Wealth Management of Chagrin Falls,…
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