August 14, 2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…
read moreNovember 16, 2015-Tampa, FL According to an FBI Press Release, Heidi Y. Calonge, 34, of Plant City, Florida, was sentenced to 18 months in federal prison , followed by 6 months…
read moreMay 2018 Update–Charlotte Guin is subject of $10M suit. Follow this for more information. Original Post-August 5, 2015– Huffman, Texas Charlotte Ann Guin , entered into a Letter of Acceptance Waiver and Consent…
read morePatrick L. Garrett , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…
read moreAugust 7, 2015- Edna, Texas Marcus Farquhar , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2013 to…
read moreJuly 24, 2015- Atlanta, Georgia Phillip Dunwoody Cox, Jr. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…
read moreAugust 12, 2015- Dallas, Texas VCA Securities (formerly Bluffview Securities) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreAugust 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
read moreAugust 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
read moreJuly 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…
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