Blog
Michael J. Rappa Broker Investigation
Financial Advisor Michael J. Rappa, Foresters Equity Services in San Diego, CA Are you concerned about investments you made with Michael J....
Sigma Planning Corp. to pay $2.5 Million
Michigan RIA, Sigma Planning, reportedly sanctioned for mutual fund conflicts Sigma Planning Corp., based in Ann Arbor, Michigan, has...
Aegis Capital Corp. Censured & Fined $93,125
FINRA Sanctions Aegis Capital Corp., New York, NY According to FINRA’s September Disciplinary report, on July 10, 2019, the regulator...
Kevin P. Smith Broker Investigation
Financial Advisor Kevin P. Smith, Morgan Stanley in Minneapolis, MN Are you concerned about investments with Kevin P. Smith in Minneapolis,...
Lance Ziesemer Broker Investigation
Financial Advisor Lance Ziesemer, Feltl & Co. in Wayzata, MN Are you concerned about investments with Lance Ziesemer in Wayzata, MN? If...
Planmember Securities Corp. Censured & Fined $90,000
FINRA Sanctions Planmember Securities Corp., Carpinteria, CA According to FINRA’s September Disciplinary report, on July 3, 2019, the...
