• FINRA Orders Securities America to Pay $2 Million Over Mutual Fund Supervision Failures
  • William Herman Dixon, Formerly of Securities America, Barred by FINRA After Refusing to Provide Requested Documents
  • Tamber King Proctor, Formerly of Securities America, Named in Customer Dispute Alleging Unsuitable Recommendations
  • Ronald Roach, Formerly of Securities America, Barred by SEC for Alleged Participation in Ponzi Scheme
  • Brokerage Firm Review: Securities America Inc.
  • Broker Investigation: Hector May