Former financial advisor Ash Narayan, who was the managing director of the Irvine, California, office of RGT Wealth Advisors, has agreed to accept an industry bar.
Thank you so very much for your guidance, patience, and expertise.
Former financial advisor Ash Narayan, who was the managing director of the Irvine, California, office of RGT Wealth Advisors, has agreed to accept an industry bar.
A 46-year industry veteran from Braintree, Massachusetts, Timothy W. Leveroni, has settled a disciplinary matter by the Financial Industry Regulatory Authority (FINRA) for falsifying signatures, per a settlement agreement known as an Acceptance Waiver and Consent (“AWC”).
The Securities and Exchange Commission (SEC) has filed fraud charges against Jesus Rodriguez, accusing him of misappropriating nearly $3.5 million from at least 10 brokerage account holders and advisory clients.
Attorney James Eccleston recently received the highest possible Martindale-Hubbell AV rating in their 2024 Judicial Edition.