• Maria Florencia Calcena, Broker with Infinex Investments, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violation of Florida’s Investor Protection Act
  • Michael Shillin, Barred Wisconsin Broker, Charged by SEC with Defrauding Over 100 Clients
  • Patrick Brown, Formerly of Merrill Lynch, Named in Customer Dispute Settled for $1.3 Million in Damages
  • Scott Niekamp, Broker with Northwestern Mutual Investment Services, Suspended by FINRA for Three Months
  • Charles Alan Blatz, Broker with Benjamin F. Edwards & Company, Named in Customer Dispute Seeking $1.5M in Damages
  • Matthew Gates, Broker with Primary Capital, LLC, Named in Customer Dispute Alleging Unsuitable Investment Recommendations