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Tag: Texas securities attorney

William G. Downing

Blog, Current Investigations

September 14, 2018

William G. Downing Barred from Securities Industry

William G. Downing (Bill Downing) – JW Cole – Securities Investigation According to the Financial Industry Regulatory Authority...

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Sanders Spangler

Blog, Current Investigations, Securities Fraud

March 27, 2018

Ex-LPL Broker Sanders L. Spangler Barred from Securities Industry

FINRA Investigates Sanders Spangler for Unauthorized Trading According to the Financial Industry Regulatory Authority (FINRA), the...

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Blog, Securities Fraud

June 24, 2013

Recovery of Investment Losses with Brian Anthony Bjork

According to the FBI, Brian Anthony Bjork pled guilty to wire fraud and was sentenced to 52 months in prison. During the plea hearing,...

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Blog, Securities Fraud

October 1, 2012

Sanders Morris Harris fined by FINRA

Sanders Morris Harris, Inc. (CRD #20580, Houston, Texas) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

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Blog, Securities Fraud

February 23, 2012

Thrivent Financial Advisor Has CFP License Suspended

According to reports, Roger D. Stevenson, a San Benito-based financial planner with Thrivent Financial for Lutherans, has been penalized by...

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Blog, Securities Fraud

February 23, 2012

Gregory Walker Charged With Identity Theft and Wire Fraud

According to federal court documents, Gregory B. Walker, a former financial advisor with Raymond James, was indicted in January by a U.S....

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