Fraud Alerts

SECURITIES FRAUD ALERTS:
SagePoint Financial Inc. Censured and Fined as Part of AWC Issued by FINRA (July 2018)
Bradley Joseph Tennison Barred from Association with FINRA Members in all Capacities (July 2018)
FINRA has Barred Dallas Richardson York of Phoenix (April 2018)
Dallas Richardson York of Phoenix Respondent in FINRA Complaint (March 2018)
FINRA Barrs Jerry Lou Guttman of Scottsdale, Arizona (November 2017)
Ex AZ Investment Advisor, Schmerman, Indicted for Fraud (April 2017)
FINRA Bars Former LPL Financial Broker, Dominic DeBruin (November 2016)
Ameriprise Financial Fined $850K for Failure to Supervise (September 2016)
Lawson Financial Suspected of Alleged Bond Fraud (May 2016)

 

FINRA DISCIPLINARY AND OTHER ACTIONS
Individuals Revoked for Failure to Pay Fines and/or Costs Pursuant to FINRA Rule 8320
Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h)

 

CONSUMER FRAUD ALERTS: *
Hello, Can You Hear Me?
Pay Your Taxes or go to Jail!

  *If you believe you have been a victim of fraud, unrelated to Securities Investments, contact the Arizona Attorney General’s Office.

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Financial Industry Regulatory Authority, Inc. (FINRA) is an independent, non-governmental regulator who oversees the people and firms that sell stocks, bonds, mutual funds and other securities to the public in the United States. They are authorized by Congress to protect investors. They do this by making sure the securities industry operates fairly and honestly with the public.