Month: March 2022
Seven Individuals Indicted in Syndicated Conservation Easement Tax Scheme
DOJ Alleges $1.3 Billion in Fraudulent Tax Deductions According to press release on March 1, 2022, the US Department of Justice...
Variable Annuity Switching
Are you a Victim of Variable Annuity Switching? Overselling variable annuities or variable annuity switching can be a problem and is...
Broker Warren Rowe Jr. Barred from the Securities Industry
Oppenheimer Broker Warren Ellewood Rowe Jr. Barred after Allegations of taking Loans from Customers According to the Financial Industry...
Broker Andrew Elsoffer Reportedly Suspended for 2 Years
FINRA Suspends Andrew Elsoffer Alleging Unauthorized Transactions, & other Rules Violations According to the Financial Industry...
Gary Bowman of Sagepoint Sanctioned for Unsuitable UITs
CFP Board Revocation, FINRA Suspends Gary Bowman, Sagepoint Financial According to a press release on March 1, 2022, the Certified...
Securities Investigation: Horizon Select Technology Fund LLC
Investigating Claims involving Horizon Select Technology Fund LLC Are you concerned about your investment in Horizon Select Technology Fund...
