June 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…
read moreAugust19, 2015, Jack Allen Scherbert , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for on…
read moreAugust 19, 2015- Dallas, Texas Andrew Lee Siegel, 56, a Dallas attorney pleaded guilty to felony offenses involving copyright infringement and investor fraud and was sentenced by US District Judge…
read moreAugust 18, 2015-Austin, Texas John Morgan, Texas Securities Commissioner entered a Consent Order finding that Citigroup Global Markets, Inc. failed to monitor the registration status of sales assistants, some of…
read moreAugust 17, 2015, JMP Securities LLC, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010 through…
read moreAugust 4, 2015-Austin, TX According to the Texas State Securities Board, antique dealer Rose Marie O’Reilly was indicted in U.S. District Court for defrauding investors in flamboyant schemes to acquire…
read moreAugust 12, 2015 VCA Securities LP, (formerly Bluffview Securities) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreAugust 4, 2015 Daniel Levin, of Dallas, TX , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…
read moreAugust 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
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