Tag: Texas
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...
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...
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...
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...
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...