The Securities and Exchange Commission (SEC) has barred former broker Herbert Hafen (CRD#: 867068), according to his BrokerCheck record accessed on March 25, 2020. This comes after he was barred by FINRA, was the subject of numerous customer complaints, and ultimately pled guilty to investment fraud. On September 4, 2019, before the U.S. District Court…

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The securities and investment fraud law firm of Fitapelli Kurta is continuing its investigation into WFG Investments, Inc. WFG Investments is currently facing a $650,000 fine from the Financial Industry Regulatory Authority (FINRA). The cause of the fine remains unstated in the firm’s SEC Focus report, however this is not the first time WFG Investments…

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