Titan Securities a securities broker dealer headquartered in Addison Texas has been censured and fined $20,000.00 by Financial Industry Regulatory Authority (FINRA) based on findings that Titan Securities failed to supervise outside business activities of its stockbrokers. Letter of Acceptance Waiver and Consent No. 2019061705101 (June 8, 2021). According to the AWC, a Titan Securities […]
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Tag Archives: Future Income Payments
FINRA Sanctions Titan Securities For Failure To Supervise
July 07, 2021 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News | Comments Off on FINRA Sanctions Titan Securities For Failure To Supervise
Packerland Stockbroker Sanctioned For Selling Away In $300 Million Ponzi Scheme
March 18, 2021 | Posted by : Guiliano Law Group | Investment and Regulatory News, Ponzi Schemes, Selling Away and Outside Activities | Comments Off on Packerland Stockbroker Sanctioned For Selling Away In $300 Million Ponzi Scheme
Richard Scott Shelley (also known as Richard Scott Shelly) a stockbroker formerly registered with Packerland Brokerage Services Inc. has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in private securities transactions during the time that he […]
Read More »Another SagePoint Stockbroker Caught In Future Income Payments Selling Away Scam
November 04, 2020 | Posted by : Guiliano Law Group | Securities Arbitration Claims, Selling Away and Outside Activities | Comments Off on Another SagePoint Stockbroker Caught In Future Income Payments Selling Away Scam
Troy Robert Baily of Omaha Nebraska a stockbroker formerly registered with SagePoint Financial has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Baily took part in private sales of Future Income Payments (FIP) while registered with SagePoint Financial. […]
Read More »DesPain Broker Barred In Woodbridge Promissory Note Investigation
January 28, 2019 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Promissory Notes, Selling Away and Outside Activities | 0 Comments
Jay R. Weiser of Collinsville Illinois a stockbroker formerly employed by DesPain Financial Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Weiser failed to cooperate with FINRA’s investigation into accusations of hm selling promissory notes and securities interests away from […]
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