• Brian Sanguinet, Broker with Arete Wealth Management, Named in Arbitration Claim
  • William Herman Dixon, Formerly of Securities America, Barred by FINRA After Refusing to Provide Requested Documents
  • Candido Jose Viyella, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Appear for Testimony
  • Jason Dipaola, Formerly of Chardan Capital Markets, Named in FINRA Investigation Following Allegations of Trading in His Mother’s Account
  • Maxwell Drever, California-Based Real Estate Developer, Charged by SEC Following Allegations of Misleading Investors
  • Robin Vail Platt, Broker with Hancock Whitney Investment Services, Accused of Unsuitable Investment Recommendations