• Martin Ruiz, New York Investment Adviser, Charged with Defrauding Clients and Misappropriating Client Funds
  • Gerald Allen Eaton, Boston Investment Advisor, Pleads Guilty to Stealing Over $3.7 Million in Client Funds
  • Ronnie Metcalf, Broker with Cetera Advisors, Accused of Failure to Supervise
  • Lyle Wesley Davis, Broker with Wilson-Davis & Co., Agrees to FINRA Settlement Alleging Failure to Supervise
  • Christ Elias Baltas, Formerly of Worden Capital Management, Named in Customer Dispute Alleging Unauthorized Trading and Unsuitable Recommendations
  • James Rudnick, Florida Real Estate Developer, Charged by SEC with Fraud