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June 5, 2018
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Blog, Current Investigations, Securities Fraud
James E. Lyons – Raymond James & Associates – Shreveport, LA According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor James Lyons from the securities industry. According to the Letter of Acceptance, Wavier & Consent, FINRA barred Lyons for
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May 8, 2013
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Blog, Securities Fraud
FINRA recently announced that Kenneth Raden Miller a registered representative in Lafayette, Louisiana has been fined $20,000 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Miller consented to the entry of findings that he allegedly made
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November 9, 2012
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Blog, Securities Fraud
The Securities and Exchange Commission (the “SEC”) recently announces that it has charged a hedge fund manager in Baton Rouge, La., with defrauding investors by hiding millions of dollars in losses suffered during the financial crisis from investments tied to residential mortgage-backed securities. The SEC
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