Alexandria, Virginia Rex Securities Law is investigating broker David Alan Basinger on behalf of a elderly, retired widow from Alexandria who was advised to purchase limited partnerships, direct investments in oil & gas,…
read moreApril 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 2 pending…
read moreMarch 2017 Investors who have suffered losses on United Development IV (UDF IV) may be able to recover damages through FINRA arbitration, a dispute resolution process that is much more…
read moreMay 2017-Plano, Texas According to publicly available records Mark A. Trewitt , (CRD# 1364490) , a stockbroker who works for VFG Securities discloses 4 pending customer disputes and a prior customer dispute that has…
read moreMarch 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…
read moreFebruary 2017-Coral Gables, FL According to publicly available records Joel H. Kassewitz , (CRD# 1674124) , a stockbroker who is not currently registered discloses one pending and seven prior, final customer disputes.…
read moreFebruary 2017-Delray Beach, FL According to publicly available records Jeffrey J. Drapala , (CRD# 1674124) , a stockbroker who is currently employed by Raymond James Financial Services discloses a pending customer dispute.…
read moreFebruary 2017-Mansfield, Texas According to publicly available records James C. Hayne , (CRD# 3257845) , a stockbroker who is not currently registered and who was last employed by Cetera Advisors, discloses…
read moreFebruary 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) , a stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…
read moreSeptember 2018-New York According to publicly available records Kevin C. Jones , (CRD# 3124650) , a stockbroker who is not currently registered and who was last employed by Newbridge Securities Corp.,…
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