• Michael Cohn, Former CCO of GPB Capital, Sentenced to 9-Months House Arrest
  • Scott Wolfrum, Formerly of David A. Noyes Company, Ordered to Cease and Desist by SEC
  • Cubby Bice, Broker with Sagepoint Financial, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations
  • Candice Montie, Broker with Moloney Securities, Suspended by FINRA Following Allegations She Participated in Private Securities Transactions Without Approval
  • Alan Price, Formerly of Edward Jones, Named in FINRA Complaint Alleging He Borrowed Money from Customers
  • Raymond Velasco, Formerly of LPL Financial, Suspended by FINRA For Creating False Termination Letters