Trevor Lee Gordon of Greenville, South Carolina, a stockbroker registered with Sandlapper Securities LLC, was sanctioned by FINRA based upon allegations that Gordon failed to comply with an arbitration award or otherwise confirm compliance with the regulator. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-01008 (August 20, 2021). Gordon and Sandlapper Securities LLC were ordered to…
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…
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…
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…
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…
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…
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…
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…
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…