Flagstaff broker Dharmesh Vora receives 3-year ban by SEC for investment violations – Insurance News
After a 13-month investigation, securities and exchange commission (SEC), Flagstaff Broker Dharmesh Vora was suspended for three years for investing client assets in high-risk structured bonds without providing sufficient disclosure. The investigation started in August 9, 2023reached a conclusion. September 16th After a total of 15 customer disputes were filed. May 23, 2022and March 20, […]
