• Frederick Mark Atiyeh, Broker with Crown Capital Securities, Facing Customer Disputes Alleging Overconcentration and Unsuitable Recommendations
  • James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes
  • Roland Terrence Molo, Formerly of Edward Jones, Suspended by FINRA Following Failure to Respond to Requests for Information
  • Jesus Rodriguez, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Provide Information
  • Joseph Michael Giordano, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise
  • Roberto Birardi, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise