Month: March 2014
Tennessee Financial Planner Arrested for Fraud
According to WSMV Channel 4, a financial planner for Capital Financial Group, Tony Myers, has been arraigned on fraud charges for allegedly...
Investigation into Telesis Oil and Gas Investment Losses
The White Law Group is investigating the liability that brokerage firms may have for selling Telesis oil and gas private placements....
Texas Broker Suspended From Securities Industry
According to the Disciplinary and Other FINRA Actions report for January 2014, registered broker, Benjamin Irby Cox, was suspended for one...
Ohio Stockbroker Sentence to Prison
According to the Columbus Dispatch, former broker, Jeffery Kelly, was sentenced to 5 years in prison for operating a Ponzi scheme. Kelly...
James Robert Glover and Signator Investors Pay $1.6 Million
According to Investment News, three clients of former broker, James Robert Glover, were awarded nearly $1.6 million through a FINRA...
FINRA Awards suggest margin remains problem in securities industry.
Based on recent awards, it appears that margin continues to be a problem in the securities industry. From January 1, 2013 to December 31,...
