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Investment Adviser

September 11, 2020 Stifel Nicolaus Broker Steven Rodemer to Pay $385,536 to Settle SEC Claims He Scammed Elderly Widow
March 29, 2019 JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme
March 23, 2022 Michael Knittel Suspended for Undisclosed Private Securities Transaction
March 18, 2022 Former Wells Fargo & LPL Financial Broker Mario Rivero Arrested for Stealing $680,000 From Clients
October 18, 2021 Raymond James' Mark Boucher Criminally Charged in $2 Million Fraud
July 31, 2021 SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations
March 25, 2020 Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
February 24, 2016 Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence