News Update

On 1/12/18, FINRA fined three broker-dealer firms and an individual member $187,500 for municipal securities rule violations, including improper charges,

Daniel T. Fischer, a financial consultant previously with Four Points Capital Partners, LLC in Melville, New York, appears to be

Jeffrey Wilson, a financial consultant registered with Wells Fargo Clearing Services in Las Cruces, New Mexico, appears to be the

Jerry Guttman (d/b/a Guttman Financial Group), a financial consultant previously registered with United Planners Financial Services of America in Phoenix,

Kenneth Jones, a financial consultant previously registered with Aegis Capital Corporation in New York, New York, appears to have been