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Allegations of Selling Away Made Against Broker Todd Mercer

January 18, 2022

Todd Mercer (CRD#: 2270311) is a dually registered Broker and Investment Advisor at Sanctuary Securities, Inc. in Indianapolis, IN. Broker’s Background He entered the securities industry in 1992 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc.; UBS Financial Services, Inc.; Morgan Keegan & Company, Inc.; Fifth Third Securities, Inc.; Liberty Securities Corporation;…

Kyle Wittgren Barred by FINRA Following An Investigation Regarding Annuity Sales

January 18, 2022

Kyle Wittgren (CRD#: 6221630) is a previously registered Broker. Broker’s Background He entered the securities industry in 2013 and previously worked for NY Life Securities, LLC, and OneAmerica Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December…

Michael Nixon Suspended by FINRA for Selling Steepener Notes

January 18, 2022

Michael Nixon (CRD#: 2169631) is a registered Investment Advisor and previously registered Broker. Broker’s Background He entered the securities industry in 1991 and previously worked for Paulson Investment Company, LLC; Newport Coast Securities, Inc.; Meyers Associates, LP; Anderson & Strudwick, Inc.; Jesup & Lamont Securities Corp.; Empire Financial Group, Inc.; Centennial Capital Management, Inc.; American…

FINRA Files Complaint Against Igor Peter Kislitsa for Allegedly Completing Applications Without Customer Approval

January 18, 2022

Igor Peter Kislitsa (CRD#: 6324794) is a previously registered Broker. Broker’s Background He entered the securities industry in 2015 and previously worked for PFS Investments, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2021, a pending sanction…

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