FARMER, PADGETT and TAYLOR named in FINRA Complaint Alleging Undisclosed and Unapproved Outside Business Activity

FARMER, PADGETT and TAYLOR named in FINRA Complaint Alleging Undisclosed and Unapproved Outside Business Activity

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Robert Charles Torcivia Suspended and Fined by FINRA for Improper Fiduciary and Beneficiary Designations

Robert Charles Torcivia Suspended and Fined by FINRA for Improper Fiduciary and Beneficiary Designations

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Tu Ngoc Le of Phoenix, Arizona Violates FINRA Rules

Tu Ngoc Le of Phoenix, Arizona Violates FINRA Rules

FINRA charges Tu Ngoc Le illegally converted $6,404 from a 64 year old customer to pay personal expenses including his mortgage, auto mobile loan and insurance, and home utility bills.

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FINRA suspends Michael Anton Crowe of Mesa, Arizona

FINRA suspends Michael Anton Crowe of Mesa, Arizona

FINRA suspended Michael Anton Crowe for failing to disclose his participation in a private securities transaction.

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Daniel C. Butterfield Ordered To Cease And Desist

Daniel C. Butterfield Ordered To Cease And Desist

Phoenix Real Estate Investor and Radio Host, Daniel C. Butterfield claims he is investing in, “…what we believe is the best opportunity for returns.  It’s Rocky Point, Mexico.”

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Former Investment Advisor Richard Mark Schmerman Sentenced

Former Investment Advisor Richard Mark Schmerman Sentenced

 

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