Investors apparently complained about securities broker Stephen Hans Wagner (also known as Steve Wagner) [CRD: 2193508, Ventura, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wagner worked for LPL Financial LLC from January 22, 2016, to January 20, 2026. Read on to find out more about Wagner’s disclosed history. LPL […]

Polar Investment Counsel, Inc. (CRD #42847, Thief River Falls, Minnesota) was censured and fined $12,500, because the Written Supervisory Procedures (WSPs) of Polar Investment Counsel Inc., prohibited their registered representatives from recommending low-priced securities, such as penny stocks, to its customers. FINRA found that because penny-stock transactions at Polar Investment Counsel were unsolicited, it did […]