• Gary Max Bowman, Broker with SagePoint Financial, Suspended for 3 Months Following Allegations of Unsuitable Investment Recommendations
  • David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations
  • Jan Earl Haynes, Formerly of Integrity Brokerage Services, Named in Customer Dispute Seeking $125K in Damages
  • Tyler Rigsbee, Formerly of Wells Fargo, Barred by FINRA Following Allegations of Misappropriating Client Funds
  • Douglas Edward Szempruch, Formerly of Aegis Capital Corp., Suspended by FINRA for One Year
  • John Henry Swon, Formerly of Royal Alliance Associates, Barred by FINRA Following Refusal to Produce Information