Tag Archives: Trustmont Financial Group Inc.

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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FINRA Bars Bankers Life Stockbroker In Investigation

March 18, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on FINRA Bars Bankers Life Stockbroker In Investigation

Ryan Owen Tarjanyi of Kettering Ohio a stockbroker formerly registered with Bankers Life Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he did not provide information to FINRA during the period that he was investigated for forgery and for falsifying documents relating […]

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Cetera Stockbroker Sanctioned For Unauthorized Trading

January 03, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Cetera Stockbroker Sanctioned For Unauthorized Trading

John D. Craft of Philadelphia Pennsylvania a stockbroker formerly registered with Cetera Financial Specialists LLC has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Craft executed trades without authorization. Letter of Acceptance Waiver and Consent No. 2019062964801 (Dec. […]

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Investors Sue Trustmont For Failure To Supervise

July 20, 2020  |   Posted by :   |   Failure To Supervise, Promissory Notes   |   Comments Off on Investors Sue Trustmont For Failure To Supervise

Peter Rajinder Kohli of Leesport Pennsylvania a stockbroker formerly registered with Trustmont Financial Group is the subject of a customer initiated investment related arbitration claim in which the customer requested $373,023.00 in damages based upon allegations that Trustmont failed to supervise Kohli’s securities transactions in the customer’s account which resulted in losses. Financial Industry Regulatory […]

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SEC Bars Trustmont Financial Kohli For Fraud

April 27, 2018  |   Posted by :   |   Investment and Regulatory News, Ponzi Schemes   |   0 Comments

Peter Rajinder Kohli of Pottstown Pennsylvania a stockbroker formerly registered with Trustmont Financial Group Inc. and chief executive officer of both DMS Advisors Inc. and DMS Funds has been barred by the Securities and Exchange commission in all capacities according to an Order Instituting Administrative Proceedings Pursuant to Securities Exchange Act of 1934 Section 15(b)(6) […]

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Trustmont Financial Group Fined For Failure To Supervise Unit Investment Trusts

Trustmont Financial Group, Inc., headquartered in Greensburg, Pennsylvania, was fined $100,000.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm, inter alia, did not properly supervise unit trusts transactions, and failed to adequately supervise consolidated reports which the firm distributed to customers. Letter of Acceptance, Waiver and Consent, No. 2014038914601 (Sept. 23, […]

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