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Packerland Stockbroker Sanctioned For Selling Away In $300 Million Ponzi Scheme

Richard Scott Shelley (also known as Richard Scott Shelly) a stockbroker formerly registered with Packerland Brokerage Services Inc. has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in private securities transactions during the time that he […]

Another SagePoint Stockbroker Caught In Future Income Payments Selling Away Scam

November 04, 2020 | Posted by : Guiliano Law Group | Securities Arbitration Claims, Selling Away and Outside Activities | Comments Off

Troy Robert Baily of Omaha Nebraska a stockbroker formerly registered with SagePoint Financial has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Baily took part in private sales of Future Income Payments (FIP) while registered with SagePoint Financial. […]

DesPain Broker Barred In Woodbridge Promissory Note Investigation

January 28, 2019 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Promissory Notes, Selling Away and Outside Activities | 0 Comments

Jay R. Weiser of Collinsville Illinois a stockbroker formerly employed by DesPain Financial Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Weiser failed to cooperate with FINRA’s investigation into accusations of hm selling promissory notes and securities interests away from […]

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Packerland Stockbroker Sanctioned For Selling Away In $300 Million Ponzi Scheme

Another SagePoint Stockbroker Caught In Future Income Payments Selling Away Scam

DesPain Broker Barred In Woodbridge Promissory Note Investigation

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