FARMER, PADGETT and TAYLOR Sanctioned by FINRA

Posted on Jan 27, 2020

The Office of Hearing Officers made a final decision in FINRA Case #2017053382401 on October 9, 2019. To read more about the Individuals Sanctioned visit here, page 22....

FARMER, PADGETT and TAYLOR named in FINRA Complaint Alleging Undisclosed and Unapproved Outside Business Activity

Posted on Jan 30, 2019

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

Posted on Jan 9, 2019

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.

FINRA suspends Michael Anton Crowe of Mesa, Arizona

Posted on Jun 19, 2018

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