November 6, 2015- Sherman, Texas The FBI announced that Frank Edwin Pate, 47, of Bonham, Texas, was sentenced to 210 months in prison for operating a currency trading scheme. He…
read moreSeptember 17, 2015 The U S Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action in US District Court for the Southern District of Florida against: Mintco…
read moreGarrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator
September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…
read moreSeptember 3, 2015- Boca Raton/Plantation, Florida The Securities and Exchange Commission announced that Manny J. Shulman and David K. Herschman were charged with violating the securities laws for their involvement…
read moreAugust 26, 2015- Cleveland, Ohio Cleveland.com reports that Dennis Flood, 64, of Brunswick, Ohio, pleaded guilty to engaging in a pattern of corrupt activity and aggravated theft for stealing from…
read moreAugust 10, 2015-New Hampshire Richard M. Higgins, of Stratham, New Hampshire was sentenced in Merrimack County Superior Court to serve 5 to 14 years after pleading guilty to one felony…
read moreAugust 13, 2015-Tampa, Florida The FBI announced that Gignesh Movalia, 40, of Tampa, pleaded guilty to one could of investment advisor fraud in connection with his operation of the OM…
read moreAugust 4, 2015 Daniel Levin, of Dallas, TX , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…
read moreAugust 4, 2015 Patrick Landon Garrett, of Franklin, TN , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he verbally…
read moreAugust 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida , 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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