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

Robert Charles Torcivia Suspended and Fined by FINRA for Improper Fiduciary and Beneficiary Designations

Tu Ngoc Le of Phoenix, Arizona Violates FINRA Rules

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.
Read MoreFINRA suspends Michael Anton Crowe of Mesa, Arizona

FINRA suspended Michael Anton Crowe for failing to disclose his participation in a private securities transaction.
Read MoreDaniel C. Butterfield Ordered To Cease And Desist

Phoenix Real Estate Investor and Radio Host, Daniel C. Butterfield claims he is investing in, “…what we believe is the best opportunity for returns. It’s Rocky Point,...
Read MoreFormer Investment Advisor Richard Mark Schmerman Sentenced

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