Inouye was reportedly charged with felony rape of a spouse. Paul Inouye (CRD: 1944879) was previously registered as a broker with Union Square Advisors from[...]
Broker / Advisor Investigations
Schottenstein is also accused of refusing to cooperate with FINRA’s investigation into his misconduct. Evan Schottenstein (CRD:4929175) was previously registered as a broker with J.P.[...]
Cohn was sentenced in exchange for his guilty plea to theft of government property. Michael Cohn, former chief compliance officer of GPB Capital Holdings, pleaded[...]
Wolfrum owned and operated Wolfrum Capital Management. Scott Wolfrum (CRD: 2187550) was previously registered with Huntleigh Securities from 2018 until 2019. In March 2021, the[...]
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,[...]
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[...]