• Roberto Birardi, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise
  • Michael Paul Francoeur, Formerly of Cambridge Investment Research, Barred by FINRA Following Refusal to Provide Information
  • William LeBoeuf, Ohio-based Investment Advisor, Suspended by FINRA Over Alleged Unauthorized Private Securities Transactions
  • Clara Tang, Formerly of Cetera Investment Services, Accused of Recommending Unsuitable Investments
  • David John Melilli, Formerly of Sagepoint Financial, Barred by FINRA Following Allegations of Unauthorized Trades
  • Garrett Manning, Broker with MML Investors, Suspended for Three Months by FINRA