Fraud Alerts

SECURITIES FRAUD ALERTS:

William Edward Torriente Jr Barred from FINRA (July 7, 2022)

Philip Anthony Riposo Barred For Providing Fictitious Account Statements (April 2022)

Dan Edward Droeg Transferred over $878,000 From Trust’s Bank Account to His Own Bank Accounts (March 2022)

Deeproot Funds, LLC & Robert J. Mueller Charged by SEC in $58 MILLION INVESTMENT FRAUD (August 2021)

Scott Wayne Reed of Scottsdale, AZ Allegedly “Selling Away” (April 2020)

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 (February 2020)

Zachary Scott Wagner barred from FINRA for potential misuse of Customer Funds (January 2020)

Matthew Leon White was barred from association with any FINRA member (November 2019)

Robert Charles Torcivia Suspended and Fined by FINRA for Improper Fiduciary and Beneficiary Designations (September 2018)

Tu Ngoc Le of Phoenix, Arizona Violates FINRA Rules (September 2018)

SagePoint Financial Inc. Censured and Fined as Part of AWC Issued by FINRA (July 2018)

Bradley Joseph Tennison Barred from Association with FINRA Members in all Capacities (July 2018)

FINRA Suspends Michael Anton Crowe of Mesa, Arizona (June 2018)

Daniel C. Butterfield Ordered To Cease And Desist (May 2018)

Former Investment Advisor Richard Mark Schmerman Sentenced (April 2018)

FINRA has Barred Dallas Richardson York of Phoenix (April 2018)

Dallas Richardson York of Phoenix Respondent in FINRA Complaint (March 2018)

FINRA Sanctions Pending Review for Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi and D Michael Cruz (January 2018)

John Christopher Oldham, Gold Canyon, AZ Suspended for 3 Months from FINRA (January 2018)

FINRA Barrs Jerry Lou Guttman of Scottsdale, Arizona (November 2017)

Ex AZ Investment Advisor, Schmerman, Indicted for Fraud (April 2017)

FINRA Bars Former LPL Financial Broker, Dominic DeBruin (November 2016)

Ameriprise Financial Fined $850K for Failure to Supervise (September 2016)

Lawson Financial Suspected of Alleged Bond Fraud (May 2016)

If you believe you or a loved one has suffered losses because your stockbroker or investment advisor acted against your best interests, it is important that you act quickly to preserve your claims.

If you need help to recover your investment losses, call Arizona Securities and Investment Fraud attorney Anthony Bingham at 480.832.1922 to schedule your initial consultation.  You may have a limited time window to assert your claim and file your complaint, so we encourage you to contact Bingham Law today.  Tony is dedicated to protecting investors who have lost money through fraud, misrepresentation, negligence and wrongdoing by others and is committed to assisting individual investors to recover your investment losses and other damages caused by inappropriate actions of stockbrokers, investment advisors and their firms.

CONSUMER FRAUD ALERTS: *

Hello, Can You Hear Me?

Pay Your Taxes or Go To Jail!

*If you believe you have been a victim of fraud, unrelated to Securities Investments, contact the Arizona Attorney General’s Office.”

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Financial Industry Regulatory Authority, Inc. (FINRA) is an independent, non-governmental regulator who oversees the people and firms that sell stocks, bonds, mutual funds and other securities to the public in the United States. They are authorized by Congress to protect investors. They do this by making sure the securities industry operates fairly and honestly with the public.