Daniel K. Kittner of Queen Creek, Arizona Fined and Suspended by FINRA

Daniel K. Kittner of Queen Creek, Arizona Fined and Suspended by FINRA

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

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

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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FINRA suspends Michael Anton Crowe of Mesa, Arizona

FINRA suspends Michael Anton Crowe of Mesa, Arizona

FINRA suspended Michael Anton Crowe for failing to disclose his participation in a private securities transaction.

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Former Investment Advisor Richard Mark Schmerman Sentenced

Former Investment Advisor Richard Mark Schmerman Sentenced

 

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John Christopher Oldham, Gold Canyon, AZ Suspended for 3 months from FINRA

John Christopher Oldham, Gold Canyon, AZ Suspended for 3 months from FINRA

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