SEC Charges EquiAlt LLC and Executives Brian Davison of Florida and Barry Rybicki of Arizona, with Defrauding more than 1,000 Investors of $170 Million
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Zachary Scott Wagner barred from FINRA for potential misuse of Customer Funds
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Matthew Leon White was barred from association with any FINRA member
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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
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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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