Tag: Securities Lawyer
Titan Securities Broker Richard Demetriou Barred from Securities Industry
FINRA Bars Richard Demetriou of Titan Securities for Unapproved Securities Sales According to a Financial Industry Regulatory Authority...
SEC Charges James Couture with Stealing $2.9 Million
LPL Financial Broker James Couture Charged with Defrauding Clients According to a press announcement on June 1, 2020, the Securities and...
Mercer Hicks III Reportedly Barred after Complaints
FINRA Reportedly Decides Mercer Hicks III Recommended Unsuitable Investments According to the Financial Industry Regulatory Authority...
Investor Alert: Croatan North Oaks DST
Did your broker recommend investing in Croatan North Oaks DST? Are you concerned about your investment in Croatan North Oaks DST? If so,...
Raymond James Broker Gary Dodds Sanctioned for Churning/Excessive Trading
Oregon reportedly fines Advisor Gary Dodds for alleged financial exploitation of five elderly clients. According to an article in Gorge...
Financial Advisor Michael Barry Carter Sentenced to Prison
Michael Barry Carter Reportedly Pled Guilty to stealing at least $6.15 million Michael Barry Carter, former Morgan Stanley financial...
