October 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 DECEMBERÂ 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…
read moreSeptember 15, 2015- Washington, D.C. In a news release the Financial Industry Regulatory Authority (FINRA) announced finding numerous securities violations, including making  misleading sales pitches and  account churning at the…
read moreSeptember 11, 2015 The Investment News reports that NEXT Financial Group, Inc. , a Houston based brokerage firm founded in 1999, is up for sale. NEXT Financial has over 700…
read moreSeptember 3, 2015- Boca Raton/Plantation, Florida The Securities and Exchange Commission announced that Manny J. Shulman and David K. Herschman were charged with violating the securities laws for their involvement…
read moreSeptember 8, 2015- North Palm Beach, Florida Bankrate Inc (RATE.N) resolved an action filed by the U.S. Securities and Exchange Commission that it engaged in accounting fraud to ensure that…
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