Luke Michael Johnson, Scottsdale, AZ, named in FINRA Complaint for Unsuitable Investment Recommendations to Customers

Posted on Sep 20, 2023

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.

Stephen Leroy Whittaker Given 90 Day Suspension by FINRA

Posted on Jan 3, 2021

Stephen Leroy Whittaker, of Phoenix, AZ, was suspended from October 2020 to January 2021.

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