According to his Brokercheck Report, Patric Ken Baccam a/k/a Khanh Sengpraseuth (CRD# 2828745), a former representative of Centaurus Financial, has been the subject of seven FINRA customer complaints.…
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According to a Complaint filed on March 10, 2016 in Oregon federal district court, the SEC has brought claims against Aequitas Management, LLC (CRD# 143780/SEC# 801-68039) and three Aequitas…
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A broker who owes a “fiduciary duty” to his client has a duty to act in the “best interests” of his customer at all times. He has a…
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Dan Jon Carpenter agreed to a settlement with FINRA that he be permanently barred from acting as a broker or associating with any FINRA member firm in any capacity.…
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Former Signator Investors Advisor, Alfred Kai Kwong Chan, has accepted a suspension and fine from FINRA relating to allegations that he improperly sold indexed annuities through an outside…
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Former Waddell & Reed adviser Steven D. Ridgley (who operated under the RBR Group) has accepted a suspension and fine from FINRA relating to allegations that he executed…
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