Tag Archives: Sandlapper Securities LLC

Sandlapper Securities Expelled By FINRA For Fraud

July 11, 2020  |   Posted by :   |   Failure To Supervise, Securities Fraud   |   Comments Off on Sandlapper Securities Expelled By FINRA For Fraud

Sandlapper Securities LLC as well as Trevor Lee Gordon (chief executive officer) and Jack Charles Bixler (vice-present) were handed down a Decision from Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council which affirmed an Extended Hearing Panel’s findings of Sandlapper, Gordon and Bixler’s fraudulent activities and breach of fiduciary duty with respect to saltwater disposal […]

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Sandlapper Sued By Investors For Fraudulent Alternative Investments

June 08, 2020  |   Posted by :   |   Alternative Investments, Securities Arbitration Claims, Securities Fraud, Selling Away and Outside Activities   |   Comments Off on Sandlapper Sued By Investors For Fraudulent Alternative Investments

Kevin Mark Nevin of Edina Minnesota a stockbroker formerly associated with Sandlapper Securities LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $400,000.00 in damages supported by allegations that the customer had been placed into direct participation program interests or limited partnership interests that failed to be […]

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Investors Sue Sandlapper Over Energy Investment Misconduct

February 06, 2020  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Orlando Cipriano Fernandez of Greenville South Carolina a stockbroker formerly registered with Sandlapper Securities LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $11,000.00 in damages based upon allegations that (1) due diligence was not adequately performed by the stockbroker prior to oil and gas investment recommendations […]

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Investors Sue Santander Securities For Fraud

Arturo Colon of Mayaguez Puerto Rico a stockbroker formerly employed by Santander Securities LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $150,000.00 in damages founded on accusations that (1) the customer’s account transactions had been negligently administered (2) contractual obligations were breached (3) securities rules and […]

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FINRA Expels Sandlapper Securities For Fraud

Sandlapper Securities LLC a broker dealer headquartered in Greenville South Carolina and Trevor Gordon (its majority owner and Chief Executive Officer) and Jack Bixler (its Chief Executive Officer) have been sanctioned by Financial Industry Regulatory Authority (FINRA) according to a FINRA Office of Hearing Officers Extended Hearing Panel Decision containing findings that (1) Sandlapper Securities […]

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Regulator Charges Sandlapper With Securities Fraud

October 16, 2017  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

Sandlapper Securities, LLC, a broker-dealer located in Greenville, South Carolina, as well as its majority owner and founder, Trevor Lee Gordon, and vice president, Jack Charles Bixler, have been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that they defrauded the firm’s customers through its sales of saltwater disposal wells investments. Department […]

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Independent Financial Group FINRA Arbitration Alleges Unsuitability

Kyusun Kim, of San Diego, California, a stockbroker formerly registered with Independent Financial Group, LLC, has been named in a customer initiated investment related arbitration claim on March 7, 2017, where the customer requested $350,000.00 in damages based upon allegations that Kim violated federal and state securities laws, breached his contractual and fiduciary duties, and […]

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VSR Financial Services Named in Customer Securities Fraud Arbitration

Kevin Mark Nevin, of Saint Louis Park, Minnesota, a stockbroker formerly associated with VSR Financial Services, has been subject to a customer initiated investment related arbitration claim on September 30, 2016, in which the customer requested $50,000.00 in damages based upon allegations that Nevin breached his fiduciary and contractual relationship with the customer, effected unsuitable […]

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