FINRA Charges Broker David Randall Lockey of SWS Financial Services, Now Known As Hilltop Securities With Unsuitable Short-Term Trading

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against stockbroker David Randall Lockey, formerly registered with SWS Financial Services, now known as Hilltop Securities Independent Network Inc. On March 30, 2016, FINRA’s Department of Enforcement filed a complaint alleging that Mr. Lockey “engaged in unsuitable short-term trading and switching in” mutual funds and unit investment trusts […]

FINRA Charges Broker David Randall Lockey of SWS Financial Services, Now Known As Hilltop Securities Unsuitable Short-Term Trading

Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against stockbroker David Randall Lockey, formerly registered with SWS Financial Services, now known as Hilltop Securities Independent Network Inc. On March 30, 2016, FINRA’s Department of Enforcement filed a complaint alleging that Mr. Lockey “engaged in unsuitable short-term trading and switching in” mutual funds and unit investment trusts […]