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Financial West Group

December 02, 2018 Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
October 21, 2022 Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers
June 16, 2021 Corey White Barred Over Supervisory & Red Flag ETP Failures at Financial West Group Because "There Were Too Many to Review"
October 17, 2019 Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
September 27, 2019 Margareta Childs Barred Following Fraud Complaint, Failure to Cooperate with Investigation
July 12, 2018 FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
November 09, 2017 FINRA Bars Victor Michel for Failing to Cooperate with Investigation
October 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints