October 2017-Austin, Texas / Greenville, South Carolina If you lost money on the Tiburon Saltwater Reclamation Fund, we may be able to help you recover damages. FINRA (The Financial Industry…
read moreApril 2018–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is…
read moreMay 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…
read moreSeptember 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a former stockbroker who was last employed by Girard Securities , disclose a prior regulatory event, 3 prior customer disputes and a…
read moreAugust 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…
read moreSeptember 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…
read moreSeptember 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a former stockbroker who was last employed by Girard Securities , disclose a prior regulatory event, 3 prior customer disputes and a…
read moreSeptember 2017 -Wayne, PA According to publicly available records Paul W. Smith (CRD#1070735) , a former stockbroker who was last registered with Bolton Global Capital , disclose a final regulatory event , 7 pending customer…
read moreSeptember 2017 -Boca Raton, FL According to publicly available records Gaetano “Guy” Magarelli (CRD#2227996) , a stockbroker who is registered with Newbridge Securities Corporation , disclose 2 pending customer disputes , 3 prior customer disputes…
read moreAugust 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a stockbroker who was previously registered with Freedom Investors Corp, disclose two regulatory events , seven customer disputes and…
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