Mark Boucher (CRD #2187695), an investment advisor registered with Strategic Wealth Advisors Group Services Inc., is the subject of an SEC Complaint. (Mr. Boucher is also a previously registered broker.) The Complaint alleges that he stole millions of dollars from clients and forged a letter to make it look like a client gifted him $1.5…

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Tony Esses (CRD#: 4643285), a registered representative with Wells Fargo Clearing Services LLC (CRD#: 19616), is currently involved in a customer dispute in which a customer is alleging that he misappropriated more than $2 million from their account, according to his BrokerCheck record accessed on July 14, 2020. What led to this dispute? Read on…

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After former registered representative Mike Carter (CRD#: 3232017) twice refused to furnish requested documents relating to theft allegations, FINRA barred him from the securities industry, according to Mike Carter’s BrokerCheck report accessed on September 16, 2019. He entered into an Acceptance, Waiver, and Consent (AWC) consenting to the sanctions. Leading up to the bar, FINRA…

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