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Tag: Texas

Dallas, Texas Securities Fraud Lawyer / Broker Fraud Attorney, featured by top securities fraud attorneys, The White Law Group

Blog, Securities Fraud

June 11, 2020

Dallas, Texas Securities Fraud Lawyer / Broker Fraud Attorney

Securities Fraud Attorney in Dallas, Texas *UPDATED* The White Law Group, LLC is a national securities fraud, securities arbitration,...

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Blog, Securities Fraud

January 3, 2011

APS Financial Corporation Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled APS Financial Corporation, located in Austin,...

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Blog, Securities Fraud

December 20, 2010

Iowa Broker Dealers Named In Suit Involving Provident Royalties

According to the Business Record, DeWaay Financial Network LLC of Clive and three other Iowa investment brokers are among 49 firms that...

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Blog, Securities Fraud

November 24, 2010

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

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Blog, Securities Fraud

September 30, 2010

Penson Financial Services and Pinnacle Capital Markets fined by FINRA.

In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Penson Financial Services, a Dallas-based...

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Blog, Securities Fraud

October 29, 2009

Gary Robert Stremel barred from FINRA

FINRA recently announced that Gary Robert Stremel, formerly of Citigroup Global Markets, Inc. in Houston, Texas, has been barred from...

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