FINRA arbitration attorney Archives - Page 2 of 12

December 4, 2014

William Brian Mulder, Merrill Lynch, Tulsa, OK Are you concerned about investments with William Brian Mulder? If so, the securities...

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August 25, 2014

According to the Associated press, the president of DBSI, David Swenson, was sentence to 20 years in federal prison by District Judge B....

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May 6, 2014

According to Investment News, on May 1, 2014, an arbitration panel for the Financial Industry Regulatory Authority (FINRA) awarded two...

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April 17, 2014

According to reports, CEO and president of DBSI, Douglas L. Swenson, was convicted of thirty-four counts of wire fraud and forty-four...

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April 8, 2014

According to InvestmentNews, broker-dealer Berthel Fisher & Co. Financial Services Inc., “one of the biggest seller of DBSI...

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March 27, 2014

According to The Associated Press, the DBSI trial is on hold after FBI agent, Rebekah E. Morse, died of a self-inflicted gunshot to the...

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Tag: FINRA arbitration attorney