Securities regulators play an important role in protecting investors. They are tasked with enforcing securities laws and regulations, ensuring that companies comply with the rules when conducting transactions involving financial instruments such as stocks or bonds. In addition to preventing fraud and other illegal activities, they aim to promote transparency in capital markets by providing […]

Patrick Thayer (CRD#: 5735955) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 2010 and previously worked for LPL Financial, LLC; Parkland Securities, LLC; Sagepoint Financial, Inc.; and H.D. Vest Investment Services. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available […]

The Wolper Law Firm, P.A. represents investors around the country who have lost money in complex options strategies.  Complex options strategies have become more popular for brokerage firms, registered investment advisers and other financial professionals, often times being sold as safe income producing investment strategies.  Many of these financial professionals do not understand the risks […]