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

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

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.

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Philip Anthony Riposo Barred For Providing Fictitious Account Statements

Philip Anthony Riposo Barred For Providing Fictitious Account Statements

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.

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

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

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

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Stephen Leroy Whittaker Given 90 Day Suspension by FINRA

Stephen Leroy Whittaker Given 90 Day Suspension by FINRA

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

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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

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

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

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

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