On January 25th, 2019, the Securities and Exchange Commission (SEC) filed financial misconduct charges against Phillip Michael Carter, two other co-defendants (Bobby Eugene Guess and Richard Tilford),[...]
Investment Loss Investigations
Eric Paxton Neidermeyer (CRD# 1680870), a financial advisor since 1987, is an industry veteran. Since October of 2011, the broker has been registered with Wells[...]
On January 23, FINRA barred Kristian Gaudet (CRD #4190811) from practicing as a broker or associating with a broker-dealer firm. Gaudet was formerly with Ameritas[...]
On January 22, 2017, a FINRA disciplinary action, found former RBC Wealth Management-US (RBC) broker Thomas Lee Johnson (CRD#: 1215434) guilty of theft. After 34[...]
In October of last year, FINRA regulators denied an appeal and upheld a decision on barred broker Gopi Krishna Vungarala (CRD#: 4856193). The FINRA decision[...]
Sonn Law is Investigating Mainsail Debt Fund LLC, Mainsail Income Fund, Mainsail Capital LLC, and David Griggs. Sonn Law has learned that the Mainsail Debt[...]
On January 9, Charles Gonzalez (CRD#: 4330269) settled allegations in a FINRA investigation. As a part of the disciplinary action, he signed a Letter of[...]
A January 11th FINRA disciplinary proceeding found Dennis Allen Hayes (CRD#: 4403550) conducted unauthorized business activity. He sold private securities transactions without disclosing this activity[...]
January 8. FINRA has imposed a lifetime ban on Trevor Michael Saliba (CRD#: 2692057), former chairman and majority owner of NMS Capital Advisors. He is[...]
On January 2nd, a FINRA regulatory decision handed down a suspension and fines for broker-dealer CSSC Brokerage Service, Inc. (“CSSC”). The decision also barred Eric[...]