First Financial Equity » News for Investors

Scott Reed, Formerly of First Financial Equity, Barred by FINRA Following Allegations He Participated in Unauthorized Private Securities Transactions

Jeffrey Sonn
Feb 26, 2021
Posted in Broker / Advisor Investigations

Reed is also facing regulatory action by the Arizona Corporation Commission. Scott Reed (CRD#: 3007033) was previously registered as a broker and a financial adviser[...]

Read More +

Stephen Whittaker, Formerly of First Financial Equity, Fined and Suspended by FINRA Over Allegations of Unreported Outside Business Activities

Jeffrey Sonn
Oct 13, 2020
Posted in Broker / Advisor Investigations

Whittaker agreed to a six-month suspension and $5K fine in connection with the allegations. The Sonn Law Group is investigating allegations that Stephen Whittaker engaged[...]

Read More +

Scott Reed, Broker for First Financial Equity, Resigns from Wells Fargo Following Allegations of Selling Away

Jeffrey Sonn
Jul 20, 2020
Posted in Broker / Advisor Investigations

Reed was also named in a customer dispute alleging unsuitable recommendations. The Sonn Law Group is investigating allegations that Scott Reed recommended unsuitable investments. If[...]

Read More +

Former First Financial Equity Broker Stephen Whittaker Terminated for Alleged Outside Business Activities

Jeffrey Sonn
May 22, 2019
Posted in Investment Loss Investigations

Stephen L. Whittaker (CRD# 831764) was a previously registered broker with First Financial Equity from 2012 to 2019, based in Surprise, Arizona. Mr. Whittaker was[...]

Read More +