September 2021- Austin, TX Texas Securities Commissioner Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…
read moreSanctioned Minnesota Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Minnesota who have been disciplined by…
read moreSanctioned Wisconsin Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Wisconsin who have been disciplined by…
read moreCalifornia Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
Sanctioned California Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from California who have been disciplined by…
read moreSanctioned Oklahoma Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Oklahoma who have been disciplined by…
read moreSanctioned Louisiana Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Louisiana who have been disciplined by…
read moreSanctioned Texas Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Texas who have been disciplined…
read moreSeptember 2021- New York The FINRA records of Anthony Sica , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit, 3 regulatory sanctions and 3 prior…
read moreSeptember 2021 -Garden City , New York According to publicly available records Mark Sam Kolta , a stockbroker who formerly worked for National Securities Corp. and who is currently registered with Worden Capital Management, disclose…
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