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Financial West Group

Most Recent Posts in Financial West Group

Oct 21, 2022 Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers
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Jun 16, 2021 Corey White Barred Over Supervisory & Red Flag ETP Failures at Financial West Group Because "There Were Too Many to Review"
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Oct 17, 2019 Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
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Sep 27, 2019 Margareta Childs Barred Following Fraud Complaint, Failure to Cooperate with Investigation
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Dec 2, 2018 Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
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Jul 12, 2018 FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
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Nov 9, 2017 FINRA Bars Victor Michel for Failing to Cooperate with Investigation
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Oct 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
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Feb 14, 2017 Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses
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