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» Posts made in March, 2020
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
Posted on Mar 23, 2020
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Zachary Scott Wagner barred from FINRA for potential misuse of Customer Funds
Posted on Mar 20, 2020
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Matthew Leon White was barred from association with any FINRA member
Posted on Mar 20, 2020
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Recent Posts
Luke Michael Johnson, Scottsdale, AZ, named in FINRA Complaint for Unsuitable Investment Recommendations to Customers
Todd Ray Anderson of Tucson Arizona Suspended from FINRA because of Unnecessary Sales Charges
Steven M. Netzel of Gilbert Arizona Suspended from FINRA for FOUR Months
Have a Safe and Happy 4th of July!
Dan Edward Droeg Transferred over $878,000 From Trust’s Bank Account to His Own Bank Accounts
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