The Securities and Exchange Commission charged Laguna Niguel, California-based TCFG Investment Advisors, LLC (TCFG), TCFG’s affiliated broker-dealer TCFG Wealth Management, LLC (TCFG Wealth), and Richard James Roberts – their CEO, president, and managing...
On August 23, 2021 the California Department of Financial Protection and Innovation issued a Desist and Refrain Order against Respondents stemming from their offer and sale of limited liability company membership interests of CalJet Air, LLC and CalJet Management,...
On August 19, 2021 the California Department of Financial Protection and Innovation entered a Desist and Refrain Order against Craig A. Ponder, Sr. FWI Alternative Marketing, LLC Ponder Financial & Retirement Firm, Inc. (collectively referred to as “Respondents”)....
July 1, 2021 – An AWC was issued in which Bowman was fined $10,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, Bowman consented to the sanctions and to the entry of findings that...
July 19, 2021 – An AWC was issued in which the firm was censured, fined $350,000 and required to retain an independent consultant to conduct a comprehensive review of the reasonableness of the firm’s policies, systems, procedures (written and otherwise) and training...
