Tag Archives: Titan Securities

FINRA Sanctions Titan Securities For Failure To Supervise

July 07, 2021  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   Comments Off on FINRA Sanctions Titan Securities For Failure To Supervise

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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Investors Sue Titan Securities For Fraudulent Investments

July 11, 2020  |   Posted by :   |   Securities Arbitration Claims, Securities Fraud   |   Comments Off on Investors Sue Titan Securities For Fraudulent Investments

Rodger Sprouse of Lee’s Summit Montana a stockbroker currently associated with Titan Securities has been referenced in a customer initiated investment related written complaint which was settled for $43,000.00 on April 6, 2020 supported by allegations that the customer had been placed into a fraudulient structured cash flow product by Sprouse in 2018 during the […]

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Titan Securities Accused Of Unsuitable REIT Recommendations

Walter Warren Parker of Rowlett Texas a stockbroker formerly registered with Titan Securities is referenced in a customer initiated investment related written complaint which was resolved for $10,000.00 in damages on September 20, 2019 supported by accusations that the customer had been inappropriately sold real estate security products and at least four of the customer’s […]

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Titan Securities Sued By Investors For Selling Unregistered Investments

Rodger Sprouse of Overland Park Kansas a stockbroker currently employed by Titan Securities of Addison Texas (CRD No. 131392) of is the subject of an investment related civil action in the Circuit Court of Jackson County Missouri where the investor sought $210,000.00 in damages based upon accusations that Sprouse sold the investor a structured cash […]

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FINRA Sanctions Titan Securities For Investment Fraud

Titan Securities a brokerage firm headquartered in Addison Texas, and Brad Curtis Brooks (the firm’s Chief Executive Officer and President) and Richard Wayne Demetriou (the firm’s registered representative) have been fined by Financial Industry Regulatory Authority (FINRA) according to an Extended Hearing Panel Decision containing findings that (1) misleading or false representations had been made […]

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Titan Securities Sued By Investors For Failure To Supervise

Brad Curtis Brooks of Addison Texas, a stockbroker and supervisor currently registered with Titan Securities of Addison Texas (CRD No. 131392) , is referenced in a customer initiated investment related arbitration claim which was resolved for $9,850.00 in damages founded on allegations that Brooks failed to supervise a customer’s investments in limited partnership interest or […]

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Titan Stockbroker Suspended By FINRA For Suitability

April 27, 2018  |   Posted by :   |   Investment and Regulatory News, Non-traded REITs   |   0 Comments

Walter Warren Parker of Rowlett Texas a stockbroker formerly registered with Titan Securities of Addison Texas (CRD No. 131392) has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made unsuitable investment recommendations to customers. Letter of Acceptance Waiver […]

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Customer Sues Titan Securities For Misrepresentation

Clyde Darrel Jones of Whitesboro, Texas, a stockbroker currently registered with Titan Securities of Addison Texas (CRD No. 131392), is the subject of a customer initiated investment related arbitration claim, which settled for $22,500.00 in damages supported by allegations that Jones made misrepresentations to the customer and unsuitable investment recommendations regarding a viatical settlement. FINRA […]

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Titan Securities Broker Investigated For Suitability

Walter Warren Parker of Rowlett, Texas, a stockbroker currently associated with Titan Securities, is the subject of a Financial Industry Regulatory Authority (FINRA) investigation into Parker’s involvement in potentially unsuitable direct participation program transactions. FINRA Investigation No. 20160504921 (Nov. 15, 2017). FINRA Public Disclosure reveals that Parker has been identified in seven customer initiated investment […]

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Titan Securities Stockbroker Named In Cease And Desist Order

Donald Lee Wells, of Seattle, Washington, a stockbroker currently registered with Titan Securities of Addison Texas (CRD No. 131392), has been fined $2,500.00 and subject of cease-and-desist sanctions pursuant to a Consent Order issued by the State of Washington Department of Financial Institutions Securities Division based upon allegations that Wells, inter alia, violated the Securities […]

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Titan Securities Charged With Misrepresentation

November 02, 2016  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Titan Securities, of Addison Texas (CRD No. 131392), along with Brad C. Brooks, its hief compliance officer and president, and Richard Wayne Demetriou, a registered representative, were charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Demetrio made misrepresentations to customers and failed to disclose an outside business activity; […]

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Titan Securities Broker Barred in Investigation into Business Activities

Donna Kay Beers of Dallas, Texas, a registered representative with Titan Securities of Addison Texas (CRD No. 131392), was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that she failed to cooperate with a FINRA investigation into allegations that Beers had engaged in […]

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Radio Host Loses License For Equity Indexed Annuity Fraud

August 17, 2015  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

David Levin, “Investment Talk” radio host and former FINRA registered representative with Titan Securities, was just fined $25,000, suspended for 6 months, and lost his qualifications as a general securities representative by FINRA in connection with consenting to FINRA findings that Levin, via his broadcast, made statements deemed to be promissory, misleading, unbalanced, or lacking […]

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