February 2018-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist Order against Jason A. Gilbert and Parker R. Hallam who are doing business through SourceRock…
read moreFebruary 2018 – Clear Lake, Iowa The FINRA records of Thomas W. Bodensteiner , a stockbroker who was previously employed by VSR Financial Services discloses a pending customer dispute . The Financial Industry…
read moreFebruary 2018 – Palm City, FL The FINRA records of Jesse Julian Griffin, Jr. , a stockbroker who was formerly employed by VSR Financial Services discloses settlement of 5 customer disputes involving alternative…
read moreTimothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA
November 2017-New Orleans, LA According to FINRA records, without admitting or denying the findings, Timothy T. Gibbons , a former Morgan Stanley broker, entered into an agreement with FINRA to resolve allegations that…
read moreMay 2017-Houston, TX The FINRA records of John Carolyn, a stockbroker who is employed by UBS Financial Services disclose 5 pending customer disputes involving oil and gas securities and one prior customer dispute. The Financial Industry…
read moreAugust 2016-Colt’s Neck, New Jersey The FINRA records of Michael P. Dalessandro , a stock broker who is currently employed by The Investment Center , disclose a pending customer dispute and a prior final customer dispute. The…
read moreAugust 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…
read moreAugust 2019-Huntington Beach, CA According to FINRA records, Jack G. Merritt , a stockbroker who works for Crown Capital Securities discloses the settlement of a customer dispute . The Financial Industry Regulatory Authority (FINRA) is…
read moreFebruary 19, 2016- Dallas, TX The Securities and Exchange Commission filed charges against Nathan Halsey, 35, of Dallas, TX and TexStar Oil, Ltd. charging them with fraudulently offering securities through misleading…
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