Month: September 2017
LPL Advisor Sonya Camarco Charged with Stealing Client Funds
Investigating Potential Claims Involving Sonya Carmaco According to her FINRA BrokerCheck report, the United States Securities and Exchange...
CFP Board Suspends Tye C. Williams after FINRA Bar
Update on Former Texas Advisor Tye C. Williams According to their website, the Certified Financial Planner Board of Standards has imposed...
Preferred Waste Solutions Plant No. 1 – Securities Investigation
Recovery of investment losses in Preferred Waste Solutions Plant No. 1 LLC Did you lose money investing in Preferred Waste Solutions Plant...
First Capital Retail LLC: Files Chapter 11
First Capital Investment Corporation BDC listed as creditor On September 14, 2017, First Capital Retail LLC filed a voluntary petition for...
Disbarred broker Mark David Holt reportedly loses $477,000 FINRA decision
Former MN Advisor Mark David Holt is purportedly serving a 10-year prison term for Wire Fraud. According to reports, Mark David Holt, 47, a...
RBC Wealth Management to Pay $212,000 FINRA Award
RBC charged with Negligence and Elder Abuse According to The Financial Industry Regulatory Authority, an all-public FINRA arbitration panel...
