June 2015-NC Securities Division The North Carolina Securities Division‘s June 2015 Newsletter announced the sentencing of the following individuals for securities related violations: Michael Anthony Jenkins pleaded guilty to three…
read moreJune 8, 2015-San Antonio, Texas Primera Energy filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the Western District of Texas. The filing came a day following…
read moreMay 15, 2015-Houston, Texas A FINRA (Financial Industry Regulatory Authority) arbitration panel in Houston, Texas, awarded over $1.1 million to a couple who filed a claim alleging that the annuities…
read moreJune 9, 2015 The Investment News reports that Knoxville, Tennessee-based broker dealer Securities Service Network (SSN) has acquired The Horizons Group, a firm previously affiliated with Cadaret, Grant & Co.…
read moreA free workshop discussing the tactics and schemes of fraudsters and scammers will be held on June 15, 2015, from 12:45-1:45pm at the Salina Public Library in the Prescott Meeting…
read moreJune 4, 2015 Everett C. Miller, 45, of Marlton, New Jersey was sentenced to 120 months in prison after pleading guilty before U.S. District Judge Renee Marie Bumb to one…
read moreUPDATE-In October 2015, Otis Bradley was permanently barred from the securities industry by FINRA. Original Post–April 27, 2015 Otis T. Bradley, was named in a complaint filed by FINRA alleging…
read moreApril 10, 2015-Grapevine, Texas James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…
read moreApril 9, 2015-Point Pleasant, NJ Douglas William Finlay, Jr. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that effected…
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