January 11, 2016- San Antonio, Texas Marco A. Mendoza , formerly a broker with J.P. Morgan Securities was permanently barred from the securities industry, for failing to respond to FINRA request…
read moreMarch 14, 2016 The Investment News reports that Daniel Thibeault pleaded guilty to criminal charges that he defrauded fund investors of GL Capital Partners out of $15 million by leading…
read moreMarch 9, 2016-Austin, Texas The Texas Lawyer reports that Patrick Lanier, a former Austin attorney, began a 17 year prison sentence for assisting Harris Ballow, an international fugitive, defraud 500…
read moreFebruary 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide…
read moreNorman, OK MAY 2017 UPDATE-In January 2017 Beth E. Dutoit was suspended for three months by FINRA and fined $5,000 to resolve allegations that she had customers sign blank forms…
read moreMarch 4, 2016-Oklahoma City, OK The Oklahoma Department of Securities file an Order to Cease and Desist and Notice of Opportunity for Hearing in the matter of Houston-based ThinAir Wireless,…
read moreMarch 10, 2016-Norman, Oklahoma The Oklahoma Securities Commission entered a permanent injunction against 2001 Trinity Fund LLC and Robert Arrowood, of Norman, OK, who was accused of operating a Ponzi…
read moreMarch 10, 2016- Cincinnati, Ohio Kenton K. Gearhart entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Merrill…
read moreFebruary 26, 2016- St. Petersburg, FL Raymond James & Associates and Raymond James Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…
read moreDallas, Texas Former VSR Financial Services broker Keith E. Chapman of Chapman Wealth Management discloses a customer dispute related to the sale of limited partnerships, direct investments, equipment leasing investments and real estate securities. (Alternative…
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