April 2017- New Canaan, CT According to publicly available records Lloyd Dotson , (CRD# 2551716) , a former stockbroker who was last employed by Commonwealth Financial Network discloses a prior regulator event, 2 prior customer…
read moreApril 2017-Frisco, Texas A Texas State Securities Board (TSSB) news release reports that Mark Christopher Parman has been sentenced to six years in state prison after pleading guilty to securities fraud…
read moreFebruary 2017-Toms River, NJ New Jersey 101.5 reports that Wall Township financial advisor Peter Martorana, 62, who worked for Retirement Benefit Specialists, pleaded guilty to accepting checks from elderly clients in…
read moreNorth Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…
read moreJuly 29. 2016- Sherman & Denison, Texas The Dallas division of the Federal Bureau of Investigation (FBI) sent out a warning about a scam which targets senior citizens in north…
read moreJune 25, 2016-Philadelphia Former Aegis Capital Corp. stock broker Malcolm Segal, of Langhorne, Pennsylvania, and Boynton Beach, FL, was sentenced to 126 months in prison in connection with a Ponzi…
read moreApril 2016-Tyler, Texas Robert Hahn, a 64 year old former Tyler insurance agent was sentenced to serve 36 months in federal prison for wire fraud and money laundering , according…
read moreMarch 15, 2016-Dallas, Texas The Department of Justice announced that Colleyville, Texas, resident David L. Spaulding, 62, has been sentenced to 15 years in federal prison and ordered to pay…
read moreApril 1, 2016 Candace B. McLeod, 32, of Holt, FL, was sentenced to 75 months in Federal prison according to a release from the US Department of Justice. McLeod had…
read moreOctober 19, 2015 Former Coastal Equities broker Michael Donnelly of Lecanto, Florida, admitting defrauding his clients and to disgorge over $2.2 million. In addition he consented to an SEC order…
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