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Did your financial advisor invest your money in Texas CKLV LLC, SRS Holdings LLC, Texas Wide Bore LLC, SRS Management LLC, or ONCO Group LLC?
Recently, a group of investors won a $5.7 million judgment following arbitration over a failed cancer treatment center involving these companies: Texas CKLV LLC, SRS Holdings LLC, Texas Wide Bore LLC, SRS Management LLC, or ONCO Group LLC . The investors in that case...
read moreTips to Protect New Investors from Securities Fraud Scams
Fraud and investment scams are always a risk in the financial field. There are specific, problematic scams like Ponzi schemes, but there are more subtle scams and fraudulent practices that may cause financial distress even for savvy investors. New investors without...
FINRA bars Michael Bruce Ralby (CRD #1301072, Boca Raton, Florida)
March 5, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ralby was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Ralby consented to the sanction and to the entry of findings that...
FINRA bars Ricardo Rodriguez-Stern (CRD #4676168, Great Neck, New York)
March 5, 2018 – An Office of Hearing Officers (OHO) decision became final in which Rodriguez-Stern was barred from association with any FINRA member in all capacities. The sanction was based on findings that Rodriguez-Stern failed to provide information and documents...
FINRA bars David Lloyd Barber (CRD #1165082, Newport Beach, California)
March 6, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Barber was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Barber consented to the sanction and to the entry of findings...
FINRA bars Mark Kaplan (CRD #1978048, Merrick, New York)
March 7, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Kaplan was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Kaplan consented to the sanction and to the entry of findings...
FINRA bars Jasper Eugene Boykin Jr. (CRD #3141703, Atlanta, Georgia)
March 12, 2018 – An Office of Hearing Officers (OHO) decision became final in which Boykin was barred from association with any FINRA member in all capacities. The sanction was based on findings that Boykin failed to timely respond to FINRA requests for information...