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April 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order suspending Jason N. Anderson,…
read moreLast Updated: March 2024 (Minnesota) Minnesota-based Legacy of Angels Foundation Seeks Millions- Claims Principal Securities Broker Churned Annuities In a recent filing with the Securities and Exchange Commission (SEC) the…
read moreLast Updated: January 2024 SEC Investor Alert: Excessive Trading at Investor’s Expense Here’s what the SEC has to say about the topic of Churning in SEC Investor Alerts and Bulletin published in 1997, recently…
read moreMost investors have heard the term Churning. This article discusses the definition of churning, why brokers may engage in churning, how to spot churning and what to do if you…
read moreEfthimios (Tim) Petrou Investigation September 2022 – Ronkonkoma, NY According to publicly attained records, Efthimios (Tim) Petrou, a stockbroker who was last employed by Arive Capital Markets , discloses a recent…
read moreDavid Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…
read moreWynston Hill Capital Craig Sherman Investigation March 2022-Fletcher, NC The FINRA records of Craig Jay Sherman a broker who formerly worked for Wynston Hill Capital, discloses a recent final regulatory…
read moreMaxim Beliakov Investigation November 2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group discloses a regulatory suspension. The…
read moreLawrence Goldstein Investigation November 2021- San Antonio, TX According to publicly available records Lawrence B. Goldstein (CRD#2282699), a former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory…
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