April 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order suspending Jason N. Anderson,…
read moreJoseph “Joey” Cason Investigation April, 2024 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a broker currently employed by Triad Advisors, who was previously employed by First Allied Securities, Inc. disclose…
read moreStoneX Financial Investigation April 2024 -Winter Park, FL According to FINRA records, StoneX Financial discloses 68 sanctions imposed by securities regulators in the United States as well as several other…
read moreEugene Cebron “Bron” Thompson Investigation March 2024– Wallace, NC According to publicly available records, Eugene “Bron” Thompson, a broker with Capital Investment Group, discloses several customer dispute related to GWG…
read moreThe Financial Industry Regulatory Authority (FINRA) provides the following explanation of the difference between Arbitration and Mediation: “Overview Arbitration and mediation are two distinct ways of resolving securities and…
read moreKimberly Nuessmann Investigation February 2024 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc. discloses a regulatory event on her FINRA record. The…
read moreChristine Warner Investigation Feburary 2024-Mount Pleasant, TX According to publicly available records Christine Anne Warner, a Monticello Financial Group broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…
read moreJon Ellefson & GWG L-Bond Investigation February 2024-Harker Heights, TX The FINRA records of Jonathan Eric Ellefson, an Intervest International Equities Corp. broker was recently named in a FINRA arbitration by a…
read moreGlenn E. Brandon Investigation February 2024- Birmingham, AL The FINRA records of Glenn Edward Brandon, a former broker who was last employed by BB&T Securities disclose a final regulatory matter resulting…
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