October 26, 2015- Bethesda, Maryland H. Beck, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…
read moreOctober 26, 2015- Austin, Texas U.S. Magistrate Mark Lane entered a final judgment in favor of the SEC against four money managers who promoted scam investments in oil and gas…
read moreAugust 13, 2015- Loudon, Tennessee/ Boston, MA Signator Investors, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreJuly 27, 2015- Plano, Texas The Financial Industry Regulatory Authority (FINRA) filed a complaint against Plano based Red River Securities and Brian Keith Hardwick alleging that they violated the Securities…
read moreJuly 10, 2015- Dallas, Texas Joseph Charles Schroeder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…
read moreJuly 24, 2015- Port Orange, Florida Dennis Ray Roberts , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed…
read moreJuly 1, 2015 Hector Perez , a/k/a Bruce Johnson , entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…
read moreJuly 2, 2015- San Antonio, Texas Emily A. Pena , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal…
read moreJuly 10, 2015- Bradenton, Florida Jose Luis Palacio , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to timely…
read moreJuly 9 , 2015- Plano, Texas Dylan Patrick Grayson , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…
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