• Dennis Gibb, Former Founder and Owner of Sweetwater Investments, Sentenced to 5 Years in Prison for Stealing Over $3 Million of Client’s Investments
  • James Booth, Former LPL Advisor, Barred From FINRA For Misappropriation
  • Michael Seigel, former National Securities Corporation Broker, Faces 3 Years in Prison for Defrauding Elderly Couple
  • Michael Alan Siegel, Former National Securities Broker, Barred From FINRA For Theft
  • William Gennity, Formerly of First Standard Financial, Barred From FINRA for Violation of Federal Securities Laws
  • Investigation: Mark Plummer, former Texas E & P Partners Broker, Ordered to Pay $500k for Improperly Spending Investor Funds