ARGUS EQUITY PARTNERS, LLC is an SEC-registered investment adviser (CRD 306518). Regulatory assets under management: $58.7M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Stephen Fiore Tripodi | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| TRIPODI STEPHEN FIORE | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-11-08 | regulatory | FINRA RULE 2010, NASD RULE 2110: TRIPODI'S COUSIN, A REGISTERED REPRESENTATIVE AT ANOTHER MEMBER FIRM, RECOMMENDED AND SOLD VARIABLE ANNUITIES TOTALING $1.37 MILLION TO CUSTOMERS. AFTER THE CUSTOMERS AGREED TO PURCHASE THE ANNUITIES, TRIPODI'S COUSIN FORWARDED THE VARIABLE ANNUITY DOCUMENTS TO TRIPO… | Final | — |