July 15, 2015- Jeffrey Howard Auerbach , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…
read moreJuly 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
read moreNovember 5, 2015- Orlando, Florida The FBI announced that Brian Newton , age 58, of New Smyrna Beach, FL, was sentenced to 15 years and 8 months and his co-defendant…
read moreNovember 4, 2015- Tampa, Florida The FBI announced that Gignesh Movalia was sentenced to 18 months in prison for operating a $9 million investment fraud scheme involving Facebook stock. Movalia…
read moreOctober 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…
read moreNovember 9, 2015- The Villages, Florida Florida State University College of Criminology and Criminal Justice in partnership with Merrill Lynch & Seniors vs. Crime is conducting research on elder financial…
read moreUPDATE DECEMBER 2016–FINRA records indicate that Robert M. Hinz, Jr. left VSR Financial Services in July 2016 and is not currently registered with any FINRA broker dealer. ORIGINAL POST – Seatlle,…
read moreRichardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records. Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…
read moreOctober 5, 2015-McKinney, Texas The Texas State Securities Board (TSSB) announced that Larry David Eckenrode of McKinney, TX, a three time felon, was arrested September 29, 2015, and charged with…
read moreSeptember 17, 2015 The U S Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action in US District Court for the Southern District of Florida against: Mintco…
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