Randall Fields recently consented to the revocation of his registration as an investment adviser representative in connection with allegations of breach of fiduciary duty stemming from an options…
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A Travis County Grand Jury recently indicted Carl William Pollock on charges of securities fraud, theft and money laundering in connection with a scheme to raise funds for…
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The Financial Industry Regulatory Authority recently barred ex-Securities America broker William Dixon relating to allegations he signed a dead client’s name. According to the FINRA Letter of Acceptance,…
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The Securities and Exchange Commission has charged investment adviser Knight Nguyen Investments (“KNI”) and three individuals for their roles in an alleged scheme to invest clients’ funds in…
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A federal grand jury in Miami has indicted Larry Ramos Mendoza in connection with a $21 million fraud. According to a news release from the Department of Justice,…
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The Financial Industry Regulatory Authority (“FINRA”) has suspended Wells Fargo Advisors broker Gary Len Wells in connection with a $600,000 bequest a client left him in a will.…
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