December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…
read moreNovember 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…
read moreDecember 15, 2015- Dallas, Texas The FBI reports that Martin Cantu, 59, of San Antonio, TX, was sentenced to 35 months in federal prison and ordered to surrender his law license…
read moreOctober 14, 2015-Coral Gables, FL Andrew M. Abern , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…
read moreDecember 3, 2015- Dallas, Texas Allen, Texas resident Brian J. Polito was sentenced to 84 months in federal prison and ordered to pay $8.8 million following his May 2015 guilty…
read moreReef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years. These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…
read moreMay 2017- Lafayette, Louisiana Garrett A. Ahrens (aka Drew Ahrens) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…
read moreAugust 7, 2015- Dallas, Texas FINRA records disclose that Daniel E. Levin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…
read morePatrick L. Garrett , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…
read moreJuly 1, 2015 Hector Perez , a/k/a Bruce Johnson , entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…
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