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Tag: Texas

Blog, Securities Fraud Articles

Sheila Dawnell Dowling barred from securities industry

FINRA recently announced that Sheila Dawnell Dowling, formerly of Fidelity Brokerage Services, LLC in Keller, Texas, has been barred from...

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Blog, Securities Fraud Articles

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Penson Financial Services fined by FINRA for securities violations

FINRA recently announced that Penson Financial Services, Inc. has been fined $38,000 and ordered to pay $22,663, plus interest, in...

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Blog, Securities Fraud Articles

Citigroup Global Markets Arbitration Award

The US District Court for the Western District of Texas should confirm an arbitration award for brokerage firm Citigroup Global Markets...

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Blog, Securities Fraud Articles

William Fletcher arrested, accused of oil securities fraud

As reported in the Dallas Morning News, another North Texan has been arrested on accusations of oil securities fraud. This time, police...

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Blog, Securities Fraud Articles

Edward Dee Basham barred from FINRA.

According to FINRA, Edward Dee Basham was recently barred from FINRA and from associating with any FINRA member firm.  The sanction was...

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Blog, Securities Fraud Articles

Penson Financial Services, Inc., based in Dallas, Texas, fined by FINRA.

Penson Financial Services, Inc. was recently fined $27,500 by FINRA. Without admitting or denying the findings, Penson Financial Services...

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