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WARNING! Investigation of FORTINO RIVERA of Centaurus Financial

Tag Archives: independent

29
Jul

WARNING! Investigation of FORTINO RIVERA of Centaurus Financial

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WARNING! Investigation of FORTINO RIVERA of Centaurus Financial

Fortino Rivera, previously with Centaurus Financial, Barred by FINRA   Have you lost money with financial advisor Fortino Rivera?  The law firm of Israels & Neuman is investigating allegations made about Fortino R. Rivera from Anaheim, California.  FINRA (the Financial Industry Regulatory Authority) barred Rivera from the securities industry after Rivera allegedly made false representations ...

02
Jul

WARNING! Impending Investigation: CHARLES SCHWAB to Pay $2.8 Million

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WARNING!  Impending Investigation:  CHARLES SCHWAB to Pay $2.8 Million

Charles Schwab Settles with SEC for $2.8 Million Regarding Failure to File Suspicious Activity Reports   The Securities and Exchange Commission (SEC) recently filed a civil complaint against Charles Schwab & Co., Inc., a San Francisco, California-based securities brokerage firm.  The SEC alleged that Charles Schwab failed to file Suspicious Activity Reports (SARs) on the ...

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