Tag Archives: Advisory Group Equity Services Ltd.

Advisors Group Equity Services Stockbroker Barred By FINRA

October 08, 2021  |   Posted by :   |   Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Advisors Group Equity Services Stockbroker Barred By FINRA

Robert Tibor Nyilas of Jericho New York a stockbroker formerly registered with Advisory Group Equity Services Ltd. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he did not cooperate with FINRA’s requests while he was under investigation for possibly making unsuitable investment recommendations […]

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FINRA Bars AGES Stockbroker In Investigation

August 15, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on FINRA Bars AGES Stockbroker In Investigation

Frank Vincent Sapareto of Derry New Hampshire a stockbroker formerly registered with Advisory Group Equity Services Ltd. has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity according to a FINRA Office of Hearing Officers Default Decision containing findings that Sapareto engaged in an undisclosed outside business […]

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Advisory Group Equity Services Stockbroker Investigated

March 31, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Advisory Group Equity Services Stockbroker Investigated

Frank Vincent Sapareto of Westport Connecticut a stockbroker formerly registered with Advisory Group Equity Services Ltd. is referenced in a Financial industry Regulatory Authority (FINRA) investigation in which the regulator determined that Sapareto should face disciplinary action for allegedly failing to be truthful during an investigation into his outside business activities. FINRA Investigation No. 20180603797 […]

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Advisory Group Stockbroker Sanctioned For Private Transactions

December 01, 2020  |   Posted by :   |   Securities Arbitration Claims, Selling Away and Outside Activities   |   Comments Off on Advisory Group Stockbroker Sanctioned For Private Transactions

David Allen Walters (also known as Dave Walters) of Laguna Beach California a stockbroker formerly registered with Advisory Group Equity Services (AGES) has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Walters engaged in private securities transactions while […]

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Source Capital Stockbroker Suspended For Unsuitable Recommendations

Daniel P. Bailey, of Rochester, New York, a stockbroker formerly registered with Source Capital Group, Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that made unsuitable securities recommendations to a customer. Letter of Acceptance, Waiver and Consent, No. […]

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