Alabama

May 21st, 2015
Published by Jeremy Hyndman at May 21st, 2015
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Million Dollar Ponzi Scheme Flourishes as Investment Firm Fails to Supervise Financial Advisor

FINRA fined and barred Terry Joe Bagwell of Pruco Securities, LLC (Pruco or the “Firm”) in Hoover, Alabama from the securities industry for participating in a […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Montgomery Stockbroker Suspended Four Months For Taking Money From Elderly Client

James Gilbert, formerly of J.P. Morgan, was recently fined and suspended for borrowing money from a client. The new client was both elderly and infirm. FINRA […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Westover Stockbroker Barred From Associating With Broker-Dealers, But Is Still Active Investment Advisor

James McLaughlin was recently terminated from Securities America and barred by FINRA from associating with any of its members in any capacity. According to the Financial […]
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