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…
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