February 2018-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist Order against Jason A. Gilbert and Parker R. Hallam who are doing business through SourceRock…
read moreFebruary 2018 – Clear Lake, Iowa The FINRA records of Thomas W. Bodensteiner , a stockbroker who was previously employed by VSR Financial Services discloses a pending customer dispute . The Financial Industry…
read moreFebruary 2018 – Palm City, FL The FINRA records of Jesse Julian Griffin, Jr. , a stockbroker who was formerly employed by VSR Financial Services discloses settlement of 5 customer disputes involving alternative…
read moreJanuary 2018-The Woodlands, Texas We are investigating former Oppenheimer & Co. stockbroker David W. Krumrey who was recently discharged by Oppenheimer for attempting to settle a customer complaint without informing the firm.…
read moreTimothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA
November 2017-New Orleans, LA According to FINRA records, without admitting or denying the findings, Timothy T. Gibbons , a former Morgan Stanley broker, entered into an agreement with FINRA to resolve allegations that…
read moreAugust 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…
read moreAugust 2019-Huntington Beach, CA According to FINRA records, Jack G. Merritt , a stockbroker who works for Crown Capital Securities discloses the settlement of a customer dispute . The Financial Industry Regulatory Authority (FINRA) is…
read moreBoca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records, Sean W.…
read moreInvestors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their losses through arbitration. On May 16, 2016,…
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