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May 01, 2024
FINRA barred former Independent Financial Group (IFG) broker Brett Arthur Hartvigson of San Diego, California for refusing to cooperate with its investigation into allegations that were part of a complaint. In 2021, while associated with IFG, Brett Harvgi
January 12, 2024
Austin Dutton's Unsuitable REIT Recommendations Harmed Customers, Says FINRA
January 09, 2024
LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures
May 10, 2023
Centaurus Financial's Donnie Ingram Sanctioned for Unsuitable UIT and REIT Recommendations
April 25, 2020
Lost Money in Risky Oil & Gas Investments During COVID-19? We're Investigating Claims
November 03, 2022
FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
April 01, 2021
Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison
May 01, 2020
Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
