June 1, 2015 Henry Irving Ramer was found guilty by a federal jury of operating a multi-mllion dollar investment scheme in which over 200 investors nationwide lost all or nearly…
read moreJune 1, 2015-Dallas/Ft. Worth, Texas Rex Securities Law is investigating Novers Financial, Christopher A Novinger and Brady J. Speers, of Mansfield, Texas, in connection with the sale of life settlements.…
read moreJune 1, 2015-San Miguel de Allende, Mexico Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…
read moreApril 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates, for ten days for exercising discretion in a client account…
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 moreApril 8, 2015- Dallas, Texas David Lyman Spalding of Colleyville, Texas was convicted by a federal jury on wire fraud, mail fraud and making false statements in connection with a…
read moreApril 13, 2015 The Insurance Journal reports that Constance Gail Fortune, 61, was arraigned in Los Angeles Superior Court and charged with felony for financial elder abuse as a result…
read moreApril 10, 2015- Flower Mound, Texas The Securities and Exchange Commission (SEC) charged Mieka Energy Corporation and Daro Ray Blankenship, its president, with fraudulently offering oil and gas investments. Vadda…
read moreDouglas Dannhardt-Former Prospera Financial Broker- Sanctioned for Churning Accounts-San Antonio, TX
April 2, 2015-San Antonio, Texas FINRA records report that Douglas Joseph Dannhardt entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
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