April 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order suspending Jason N. Anderson,…
read moreKenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL
Kenneth New/Center State Securities/GWG L-Bond Investigation Updated December 2023 Merritt Island, FL According to publicly available records Kenneth J. New, a broker currently employed by Arete Wealth Management, discloses several…
read moreLPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…
read moreLast Updated: September 2023 (Vero Beach, FL) Glenn Romer Investigation Summary Here’s what you need to know about Vero Beach, FL, stockbroker Glenn Romer: Name: Mr. Glenn J. Romer Current…
read moreMorgan Darby Hill/GWG L-Bond Investigation October 2022- Woodstock, GA According to publicly available records Morgan Darby Hill, a broker formerly employed by Center Street Securities, discloses a pending customer suit…
read moreChristopher Wright Investigation September 2022- Prescott, AZ According to publicly available records Christopher Wright, a broker employed by Center Street Securities, discloses a pending customer suit involving an investment in…
read moreSecurities Enforcement Actions Securities Division- North Carolina Secretary of State Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…
read moreJohn LoPinto Investigation May 2022- New York, NY The FINRA records of John LoPinto, a currently unregistered broker who was last employed by Worden Capital Management, disclose 2 regulatory events and 3…
read moreLyle Davis Investigation May 2022 – Salt Lake City, UT According to publicly attained records, Lyle W. Davis, a stockbroker who is not currently registered and who was last employed…
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