Sanders Spangler (LPL Financial) Barred For Life By FINRA!

Sanders Spangler (LPL Financial) Barred For Life By FINRA!

Sanders Spangler, a former stockbroker who was registered with LPL Financial since October 2005, discloses an employment termination, 6 prior customer disputes as well as a regulatory matter on his BrokerCheck record. LPL Financial discharged him in February 2017 alleging: “Exercising discretionary power in the customer account(s) in violation of firm policy” on his BrokerCheck …

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Antoine Souma (Galliott Capital Advisors) Suspended and Fined

Antoine Souma (Galliott Capital Advisors) Suspended and Fined For Inaccurate Reports!

One-time top-ranked broker Antoine Souma (Galliott Capital Advisors) has agreed to a fine of $20,000 and a suspension of two months, levied by the Financial Industry Regulatory Authority (FINRA). Allegations against Souma, who, in 2016, was ranked at number 76 in the list of top 100 financial advisors produced by Barron’s, and headed a team …

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Ameriprise Complaints: Broker James Dunn

Ameriprise Financial James Dunn Facing 5 Customer Claims for a Total of $1.5M

If you are an investor who has had dealings with Ameriprise stockbroker James Dunn and has either suffered losses or suspected wrongdoing, you are advised to seek expert guidance. At Haselkorn & Thibaut, we have been contacted by several victims of the Virginia-based broker and are undertaking free reviews of their cases. Dunn has a …

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Aegis Capital

Aegis Capital Corp Fined $2.8M For Excessive Trading and Unsuitability

A customer’s complaint about churning, and partly a self-directed examination, has resulted in Aegis Capital Corporation being sanctioned by the Financial Industry Regulatory Authority (FINRA), primarily for the unsuitable, excessive trading in the accounts of many of its customers. 68 customers found harmed by the activities will receive $1.7 million in restitution from the firm. …

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