• Les Leroy Barber Jr., Broker with Royal Alliance Associates, Accused of Recommending Unsuitable Private Placements
  • Daniel Poland, Broker with McNally Financial Services, Accused of Recommending GPB Capital Private Placements
  • Louis Olave, Broker with Lincoln Investment, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations
  • Mazair Monshi, Broker with IFP Securities, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations
  • Paul Inouye, Formerly of Union Square Advisors, Suspended by FINRA Following Allegations of Failure to Disclose Two Felony Charges
  • Evan Schottenstein, Formerly of JPMorgan, Banned by FINRA Following Allegations of Trading Grandmother’s Assets Without Her Knowledge