10
OctUPDATE! Brian Pebley and Rainmaker Securities LLC
WARNING! Brian Pebley and Rainmaker Securities LLC We are currently investigating allegations made against Brian Pebley, a financial advisor from Johnstown, Colorado who previously worked with Rainmaker Securities, LLC. The Illinois Securities Department brought a regulatory complaint against Mr. Pebley making various allegations, including that Pebley sold notes in a company called Ten X ...
16
SepWARNING! Impending Investigation: BRIAN PEBLEY and RAINMAKER SECURITIES LLC
Brian Pebley and Rainmaker Securities LLC We are currently investigating allegations made against Brian Pebley, a financial advisor from Johnstown, Colorado who previously worked with Rainmaker Securities, LLC. The Illinois Securities Department brought a regulatory complaint against Mr. Pebley making various allegations, including that Pebley sold notes in a company called Ten X Holdings ...
24
JulWARNING! Impending Investigation: RAINMAKER SECURITIES LLC and PRIVATE PLACEMENTS
Rainmaker Securities LLC and Private Placements We are currently investigating allegations made against Rainmaker Securities, LLC, a Chicago, Illinois-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) filed a complaint against Rainmaker Securities and its President, Glen W. Anderson. FINRA alleges that from 2011 to 2014, Rainmaker Securities and Glen Anderson failed to ...
