Call Now for a Free Consultation
(888) 637-5510

Tag: Texas securities attorney

Blog, Current Investigations

William G. Downing Barred from Securities Industry

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

Read More

Blog, Current Investigations, Securities Fraud

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...

Read More

Blog, Securities Fraud

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,...

Read More

Blog, Securities Fraud

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...

Read More

Blog, Securities Fraud

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...

Read More

Blog, Securities Fraud

Former Raymond James Advisor 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....

Read More