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Tag: Texas securities attorney

Blog, Current Investigations, Securities Fraud Articles

Ex-LPL Broker Sanders L. Spangler Barred from Securities Industry

FINRA Investigates Sanders Spangler for Unauthorized Trading According to the Financial Industry Regulatory Authority (FINRA), the...

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Blog, Securities Fraud Articles

Recovery of Investment Losses with Brian Anthony Bjork

According to the FBI, Brian Anthony Bjork pled guilty to wire fraud and was sentenced to 52 months in prison. During the plea hearing,...

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Blog, Securities Fraud Articles

Sanders Morris Harris fined by FINRA

Sanders Morris Harris, Inc. (CRD #20580, Houston, Texas) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

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Blog, Securities Fraud Articles

Thrivent Financial Advisor Has CFP License Suspended

According to reports, Roger D. Stevenson, a San Benito-based financial planner with Thrivent Financial for Lutherans, has been penalized by...

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Blog, Securities Fraud Articles

Gregory Walker Charged With Identity Theft and Wire Fraud

According to federal court documents, Gregory B. Walker, a former financial advisor with Raymond James, was indicted in January by a U.S....

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Blog, Securities Fraud Articles

Securities Regulatory Information Regarding H.D. Vest

The following is a brief breakdown of publicly available information regarding H.D. Vest and its securities sales practices and FINRA...

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