Luke Michael Johnson, Scottsdale, AZ, named in FINRA Complaint for Unsuitable Investment Recommendations to Customers
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Todd Ray Anderson of Tucson Arizona Suspended from FINRA because of Unnecessary Sales Charges
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Steven M. Netzel of Gilbert Arizona Suspended from FINRA for FOUR Months
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William Edward Torrriente Jr. Barred from FINRA
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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.
Read MorePhilip 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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