When an SEC Wells Notice is issued to a FINRA Series 7 registered representative, the stakes rise dramatically—because it must be disclosed on their Form U4, alerting FINRA and their firm even before any charges are filed. This disclosure alone can trigger additional investigations or even termination, despite the fact that the SEC may later...Read More

The United States Securities and Exchange Commission (SEC) charged former Texas resident, Joshua Thomas Jackson, with defrauding investors through real estate investment schemes resulting in investor losses of approximately $2.4 million. The SEC enforcement action, filed in the United States District Court for the Eastern District of Texas, charges Jackson with violating the antifraud provisions...Read More