Bice has three customer disputes currently pending against him. Christopher “Cubby” Bice (CRD#: 3222439) is registered as a broker and financial advisor with Sagepoint Financial,[...]
Broker / Advisor Investigations
Montie is suspended from the securities industry for a period of three months. Candice Montie (CRD#: 4726799) is registered as a broker with Moloney Securities,[...]
Price is also accused of failing to comply with requests for documents and information. Alan Price (CRD#:3181061) was registered as a broker with Edward Jones[...]
Velasco is suspended from the financial industry for a period of two years. Raymond Velasco (CRD#:4867519) was registered as a broker with LPL Financial from[...]
Sapareto is also accused of making misleading or false statements in connection with his outside business activities. Frank Sapareto (CRD#:2274877) was registered as a broker[...]
Schaefer has two pending customer disputes alleging unsuitable investment recommendations. Kevin Schaefer (CRD#:1286030) is registered as a broker and investment adviser with Wells Fargo, where[...]
Erhart Del Campo was also accused of making unauthorized trades in other customers’ accounts. Ignacio Erhart Del Campo (CRD#:6084596) was registered as a broker with[...]
Trevor Rahn, Formerly of JP Morgan, Suspended by FINRA Following Allegations of Unauthorized Trading
Rahn was terminated from JP Morgan in 2018 based on similar allegations of misconduct. Trevor Rahn (CRD#: 2196155) was registered as a broker with JP[...]
Cohn was sentenced to nine months of home confinement in exchange for his guilty plea. Michael Cohn, former chief compliance officer of GPB Capital Holdings,[...]
The pending customer complaints are seeking over $10M in damages, collectively. David Wall (CRD#: 1651874) was registered as a broker with Voya Financial from 2013[...]