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Last Updated: September 2023 (The Woodlands, TX) Bison Investment Advisors Investigation Summary Here’s what you need to know about The Woodlands, Texas, registered investment adviser Bison Investment Advisors: Name: Bison…
read moreLast Updated: August 2023 (Columbus, GA) Danny Strain Investigation Summary Here’s what you need to know about Columbus, GA, stockbroker Danny Strain: Name: Mr. Danny Ray Strain Current Employer: Cape…
read moreLyle Boudreaux Investigation July, 2022 – Houston, TX The FINRA records of Lyle J. Boudreaux a former broker who was previously employed by Independent Financial Group, discloses a regulatory event ,…
read moreHow to Recover Losses on GPB Funds November 2021 GPB Alleged to be a Ponzi-Like Scheme GPB raised over $1.8 billion in high risk private placements that were sold to…
read moreDavid M. Becker Investigation November 2021-Waterloo, IA According to publicly available records, David Michael Becker, a former Cetera Advisors broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreAug 2021-Houston, TX The FINRA records of Lyle J. Boudreaux, a stockbroker who is not currently registered with any FINRA broker dealer and who was last employed in the securities industry by…
read moreOctober 2020-Charlotte, NC According to publicly available records, Christopher Shaw (CRD#5011382), a stockbroker who was previously registered with Pruco Securities & Kalos Capital, discloses 3 pending customer disputes, a prior…
read moreJANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…
read moreMay 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below) from…
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