May 2025 – Atlanta, GA The FINRA records of of David Harrison Miller , formerly a stockbroker with Peachcap Securities is not currently registered with FINRA. He discloses 9 prior…
read moreApril 2025- Garden City, NY / Melbourne, FL According to publicly available records Richard Foerster Reynolds (CRD#2162706), a currently unregistered stockbroker who last worked for SW Financial and Worden Capital…
read moreUPDATED January 2025 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…
read moreApril 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 moreJames Travis Flynn Investigation April 2024-Greer , SC/ Greenville, SC Over the past 5 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read moreMarch 2024 Update– See this for our investigation of LPL and some of their brokers. UPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution…
read moreJanuary 2024 – Clearwater, FL According to publicly available records William B. Gordon (CRD# 2127800) , a registered stockbroker currently employed by Kovack Securities disclose a prior regulatory event and 12 prior…
read moreHorizon Private Equity III Investor Losses Estimated to Exceed 25 Million According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…
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 moreSeptember 2022 Sanctions by Certified Financial Planners Board According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in…
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