March 17, 2015 Armen Bahadourian entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in late 2012, while registered with…
read moreMarch 16, 2015 Share Financial Services and its President and Chief Compliance Officer Charles Major entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA)…
read moreMarch 9, 2015- San Antonio, Texas The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…
read moreMarch 17,2015-Irving Texas The FBI announced that Michael David Carroll, 39, pleaded guilty to the federal offense of failing to surrender to serve a 70 month sentence in an investor…
read moreMarch 17, 2015-Plano, Texas The FBI, Dallas Division, announced that five defendants have been sentenced for their roles in a mortgage fraud conspiracy in a hearing before U.S. District Judge…
read moreMarch 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…
read moreMarch 2, 2015-Colleyville, Texas The U.S. Securities & Exchange Commission (SEC) filed a complaint seeking an injunction alleging that Gary S. Williky of Colleyville, Texas perpetrated an illegal market manipulation and…
read moreFebruary 27, 2015- Columbia, South Carolina The Securities Commissioner of the State of South Carolina has filed an Order to Cease and Desist against a Garland, Texas, Company and one…
read moreFebruary 27, 2015 The U.S. Securities & Exchange Commission (SEC) filed charges against 3 company officers and 12 promoters who were operating an international pyramid scheme using Portuguese companies operating…
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