Scott Wayne Reed of Scottsdale, AZ Allegedly “Selling Away”

Posted on Feb 11, 2021

Scott Wayne Reed, a stockbroker in Scottsdale, AZ, voluntary resigned on April 7, 2020 from Wells Fargo, following allegations of selling away.

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

Zachary Scott Wagner barred from FINRA for potential misuse of Customer Funds

Posted on Mar 20, 2020

Matthew Leon White was barred from association with any FINRA member

Posted on Mar 20, 2020

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

Posted on Dec 27, 2018

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.