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Outside Business Activity

November 27, 2023 Stephen Takeda Barred During Customer Loans Investigation
August 06, 2023 LPL Financial's Gregory Collins Cited for Failing to Disclose Side Gigs, Including Hedge Fund Role
October 20, 2021 Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
June 17, 2019 Barred San Diego Broker Harry Couglar Suspended by CFP Board
June 14, 2019 Cryptocurrency Business Places Kyung Soo Kim in Hot Water
May 07, 2019 Michael ("Mikey") Tanha Cited for Outside Business Activities, Private Securities Transactions
May 03, 2019 Jamie Bennett Sanctioned for Failing to Review E-mails, Use of Outside E-mail Address
March 19, 2019 Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients