• Steven Ira Hein, Broker with Kestra Investment Services, Named in Customer Dispute Alleging Numerous Forms of Misconduct
  • Kyle Jensen Kirwan, Broker with Kalos Capital, Named in Customer Dispute Alleging Breach of Fiduciary Duty
  • Todd Ray Anderson, Broker with Benchmark Investments, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations
  • Francisco Javier Valenzuela, Formerly of Morgan Stanley, Named in Two Pending Customer Disputes
  • Janie Garza-Clark, Formerly of SagePoint Financial, Named in Customer Complaint Alleging Unsuitable Investment Recommendations
  • Nathan Gersteen Katz, Formerly of Triad Investors, Barred by FINRA Following Refusal to Produce Information