Colorado Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Colorado who have been disciplined by CFP Board…
read moreApril 2019-Idaho Falls, ID The FINRA records of two former Allegis Investment Advisors stockbrokers , Peter Gerhard Klaass and Heath Shayne Bowen disclose that the Colorado Division of Securities alleged…
read moreMarch 2019- Warwick, New York/Boca Raton, FL The FINRA records of Harry Seth Datys, a stockbroker who is currently employed by Westpark Capital , disclose three regulatory events, 3 pending customer disputes, 13 prior…
read moreJuly 2016 The FINRA records of Chad E. Thompson , a currently unlicensed stockbroker who was last employed by IFS Securities , disclose a final regulatory event and a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreSee this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators. ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…
read moreJune 25, 2015 According to the Colorado Division of Securities , Adam Edward Hirschfeld, 32, of Centennial, Colorado has been indicted for securities fraud in connection with raising money at least…
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