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

Posted on Jan 30, 2019

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

Posted on Dec 27, 2018

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Tu Ngoc Le of Phoenix, Arizona Violates FINRA Rules

Posted on Sep 20, 2018

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

Posted on Jun 19, 2018

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

Posted on May 2, 2018

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

Posted on Apr 11, 2018

 

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