Tag Archives: Advisory Group Equity Services Ltd.

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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