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July 23, 2019
STEPHEN CARVER Cause Your Investment Losses?

STEPHEN CARVER Cause Your Investment Losses? The Financial Industry Regulatory Authority (FINRA) confirms that at least three investors filed disputes over the sales practices of Stephen Carver (CRD#: 2230161, Peoria, Illinois). The disputes, which come from investors of both LifeMark Securities Corp, LPL Financial, and Cetera Advisors LLC, are summarized below: LifeMark Securities Corp. Client’s […]

July 4, 2019
DONALD FOWLER Guilty Of Securities Fraud

DONALD FOWLER Liable For Securities Fraud The Securities and Exchange Commission (“SEC”) announced on June 20, 2019 that Donald Fowler (CRD#: 4989632, Syosset, New York) was found guilty of securities fraud. Notably, a jury returned a verdict in favor of SEC in Case #: 1:17-cv-00139. Here’s more on the SEC action against Fowler: SEC Charges […]

December 11, 2017
NEXT FINANCIAL GROUP Fined Again by FINRA

On December 6, 2017, Houston-based, NEXT FINANCIAL GROUP, INC. CRD#: 46214, SEC#: 51356 agreed to pay a $750,000 fine to FINRA and were required to retain an independent consultant to conduct a comprehensive review of the adequacy of the firm’s policies, systems and procedures (written and otherwise) and training, as part of settlement for a […]

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