April 2016- Oklahoma City, OK UPDATED February 2018-See this for current details. UPDATE MAY 2017–FINRA Records disclose that Jay D. Jordan currently has 9 pending and 4 prior customer disputes. The…
read moreApril 17, 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreApril 2016-Trumbull, CT The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreMarch 15, 2016-Dallas, Texas The Department of Justice announced that Colleyville, Texas, resident David L. Spaulding, 62, has been sentenced to 15 years in federal prison and ordered to pay…
read moreApril 13, 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
read moreApril 12, 2016-Fort Worth, Texas The Securities and Exchange Commission (SEC) filed fraud charges against McKinney, TX based Servergy, Inc. , William E. Mapp III, Caleb J. White and Texas attorney general…
read moreDallas, Texas UPDATE JUNE 2017-David W. Williams discloses that FINRA Case 16-00346, see below, was settled for $250,000 in 12/2016. ORIGINAL POST-April 12, 2016 The FINRA records of David W. Williams,…
read moreDecember 30, 2015-Oklahoma City, OK Carl W. Busch , a broker with WFG Investments, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…
read moreApril 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…
read moreApril 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…
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