• Sean Westbrook, Broker with Stifel, Nicolaus & Co., Named in Customer Dispute Alleging Unsuitable Investment Recommendations
  • John Gilbert Simpson, Formerly of JP Morgan, Named in Customer Dispute Alleging Misrepresentation
  • Scott Fergang, Broker with Stifel, Nicolaus & Co., Suspended by FINRA Following Allegations of Unauthorized Trading
  • Jonathan P. Maroney, Owner of Harbor City Capital Corp., Charged by SEC With Misappropriating Investor Funds and Operating Ponzi Scheme
  • Larry Ramos Mendoza, Resident of Miami, Indicted For $21 Million Investment Fraud
  • Joia Evans, Formerly of TIAA-CREF, Barred by FINRA Following Refusal to Provide Information