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

Posted on Sep 20, 2023

Todd Ray Anderson of Tucson Arizona Suspended from FINRA because of Unnecessary Sales Charges

Posted on Jul 26, 2023

Steven M. Netzel of Gilbert Arizona Suspended from FINRA for FOUR Months

Posted on Jul 25, 2023

Dan Edward Droeg Transferred over $878,000 From Trust’s Bank Account to His Own Bank Accounts

Posted on Jul 1, 2022

Dan Edward Droeg converted assets of a trust and then transferred over $878,000 from the trust’s bank account to his own bank accounts.

Philip Anthony Riposo Barred For Providing Fictitious Account Statements

Posted on Jul 1, 2022

Philip Anthony Riposo was terminated from his firm, United Planners’ Financial Services of America a Limited Partner, and barred from association with any FINRA member in all capacities.

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.