UPDATED January 2025 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…
read moreMarch 2024 Update– See this for our investigation of LPL and some of their brokers. UPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution…
read moreHorizon Private Equity III Investor Losses Estimated to Exceed 25 Million According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…
read moreKovack Securities Investigation August 2022- Ft. Lauderdale, Florida The Securities and Exchange Commission (SEC) settled charges against registered investment advisor Kovack Advisors, Inc. for misconduct related to its wrap fee…
read moreSanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of Sanders L. Spangler , a former stockbroker who was once employed by LPL Financial disclose a regulatory matter, 6 prior customer disputes…
read moreAegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…
read moreDoc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers November 2021-Fort Worth, TX “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…
read moreOhio Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Ohio who have been disciplined by CFP…
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