Scott Paul Smith Investigation June 2023– Huntington Beach, CA According to publicly available records, Scott Paul Smith, a currently unregistered broker who last worked for J.W. Cole Financial, discloses a final…
read moreDale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger, a broker who last worked for DMK Advisor Group and prior to that Securities America, …
read moreAugust 2016- Columbia, South Carolina September 2017 UPDATE-A FINRA arbitration panel in Columbia, South Carolina awarded two former clients of Christopher Thomas Tolmacs $1.2 million in compensatory damages and $300,000 in…
read moreFebruary 18, 2016- The Texas State Securities Board reprimanded LPL Financial and ordered the company to pay a $95,000 fine for supervisory failures that led to one of their brokers…
read moreOctober 15, 2015 – Fredericksburg, VA Jonathan D. Freeze , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…
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