• Brett Arthur Hartvigson, Broker with Independent Financial Group, Named in Multiple Customer Disputes Alleging Overconcentration
  • William Colie Johnson, Broker with Cadaret, Grant & Co., Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
  • Perry De Leeuw, Formerly of PFS Investments, Barred by FINRA Following Failure to Comply with Arbitration Settlement Agreement
  • Jeremy Fortner, Formerly of Wells Fargo, Discharged Following Allegations of Borrowing Money from Clients
  • Jeffrey Dampf, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Testimony
  • Alan Harold New, Formerly of NYLife Securities, Barred by FINRA Following Refusal to Provide Documents and Information