Former Houston, Texas financial advisor Bob Thompson (CRD# 713539) was recently sanctioned and barred in connection with alleged rule violations....
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02 OctBob Thompson: FINRA Bars Former ON Equity Sales Advisor
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27 SepRick Rappaport: Westpark Capital Advisor Lands $2.5mm Complaint
A recent investor complaint against Los Angeles, California financial advisor Rick Rappaport (CRD# 1885122) alleges that his conduct resulted in...
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27 SepWendy Kretschmer: $2.5mm Complaint Against American Trust Advisor
A recent investor complaint against Boca Raton, Florida financial advisor Wendy Kretschmer (CRD# 3111589) alleges that her conduct resulted in...
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27 SepAndrew Greaves: $15mm Complaint Against Fidelity Advisor
Salt Lake City, Utah financial advisor Andrew Greaves (CRD# 6037600) allegedly recommended an unsuitable investment, according to a recent investor...
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