Wealthy individuals wage a constant battle to reduce their burden of income tax. Private placements of syndicated conservation easements seemed to catch the fancy of investors around 2010, again, as a means of reducing their income tax liability. Investors have been asking questions regarding a syndicated conservation easement. Our initial investigation has caused many red […]
Syndicated Conservation Easement Loss Recovery Read More »
Edward Turley, a former top financial advisor from JP Morgan, is under investigation by Haselkorn & Thibaut for the handling of client accounts, sales practices, and company policies. Multiple clients of Mr. Turley have alleged they were sold products that were not suitable. Both JP Morgan and Turely were required by FINRA rules to make
Edward Turley Investigation Continues As JP Morgan Faces Millions in Fines Read More »
SagePoint Financial Advisors, a subsidiary of the Advisor Group, has been censured by the Financial Industry Regulatory Authority (FINRA) and a fine of $700K levied for failing to supervise brokers who had a misconduct history. According to a letter of acceptance, waiver, and consent (AWC) shared by FINRA, the findings in this case against SagePoint
SagePoint Financial Fined 700K and Censured By FINRA Read More »
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
Sanders Spangler (LPL Financial) Barred For Life By FINRA! Read More »
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
Antoine Souma (Galliott Capital Advisors) Suspended and Fined For Inaccurate Reports! Read More »