UPDATE JUNE 2017– FINRA Case 15-2763, which was filed against Dirk Rabenold by a customer of NEXT Financial Group customer alleged that Rabenold recommended an unsuitable investment and sought damages of…
read moreJune 18, 2015 The Securities and Exchange Commission (SEC) filed an action charging Norstra Energy, based in Southlake, Texas and its CEO Glen Landry with defrauding investors about reserve estimates…
read moreJune 19, 2015 Justin Amaral entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…
read moreUPDATE FEBRUARY 2017-RIverhead, New York In February 2017 the Florida Office of Financial Regulation entered a Final Order against Shaun Paul Golden permanently barring him from applying for registration. Case#…
read moreJune 18, 2015-Boston, MA Lucian D. Hodgman entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May and July…
read moreJune 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay a customer over $1.2 million on claims of negligence, unsuitability, breach…
read moreJune 17, 2015-Palm Beach County Florida Jeffrey Schuler, 54, of Boynton Beach, Florida pled guilty to one count of wire fraud, in connection with the operation of Fort Lauderdale based…
read moreJune 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…
read moreJune 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…
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…
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