A former Fort Lauderdale Ameriprise investment advisor, Shawn Sapp, was fined $25,000 by the Florida Office of Financial Regulation on Nov. 19, 2013, for taking loans from clients and not disclosing his criminal past. Sapp is banned from registering as a financial professional in the state of Florida for three years. Sapp was employed by […]

BLAKE BANCROFT RICHARDS (CRD #4051402) Blake Richards of Buford, Georgia, was charged by the Securities and Exchange Commission (SEC) with violations of the federal securities laws for misappropriating investor funds. In May, the SEC filed an emergency action seeking a temporary restraining order and other emergency relief in federal court against Richards. The SEC’s complaint […]