State Farm Stockbroker Barred In Investigation

State Farm Stockbroker Barred In Investigation

David Lance Hall of Bakersfield California a stockbroker formerly registered with State Farm VP Management Corp. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Hall avoided...

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First Allied Securities Sued For Misrepresentation

First Allied Securities Sued For Misrepresentation

Jaime Michael Westenbarger of Grand Rapids Michigan a stockbroker formerly associated with First Allied Securities Inc. is the subject of a customer initiated investment related complaint on January 21, 2020 in which the customer requested $30,636.16 in damages based...

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SEC Charges CV Brokerage Stockbroker With Fraud

SEC Charges CV Brokerage Stockbroker With Fraud

Brenda Ann Smith (also known as Brenda Smith Peterman) of West Conshohocken Pennsylvania a stockbroker and investment advisor formerly associated with CV Brokerage Inc., Broad Reach Capital LP and Bristol Advisors LLC is named in a Securities and Exchange Commission...

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State Farm Stockbroker Barred In Investigation

SagePoint Stockbroker Sanctioned For Selling Away

Frederic Thomas O’Hara (also known as Ted O’Hara) of Burnt Hills New York a stockbroker formerly registered with SagePoint Financial Inc. has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory...

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