Tax

• Nov 27, 2023 Stephen Takeda Barred During Customer Loans Investigation

  Read More
• Aug 5, 2022 Camille Cordova Sanctioned for Unsuitable Variable Annuity Recommendations

  Read More
• Aug 5, 2022 Philip Smith Suspended by FINRA After Series of Complaints, Unsuitable Variable Annuity Recommendation

  Read More
• May 13, 2021 IRS Warns of Conservation Easement Tax Scams as Brokers Raise Billions

  Read More
• Apr 5, 2021 James Hedges Cited for Misrepresenting, Failing to Disclose $6 Million of Financial Events on Questionnaire

  Read More
• Oct 12, 2020 Stephen Whittaker Cited for Undisclosed Outside Business Activity

  Read More
• Dec 21, 2019 Francisco Valenzuela Cited for Failing to Disclose Lien

  Read More
• Aug 21, 2019 FINRA Sanctions SoCal Brokers for Failing to Cooperate with Investigations

  Read More
• Jul 10, 2019 Signator's Jeffrey Lundstrom Cited for Failing to Disclose $100,000 in Liens

  Read More