• Frank Sapareto, Formerly of Trustmont Financial, Charged in FINRA Complaint Alleging Concealment of an Outside Business Activity
  • Kevin Schaefer, Broker with Wells Fargo, Accused of Recommending Unsuitable Investments
  • Ignacio Erhart Del Campo, Formerly of Insigneo Securities, Suspended by FINRA Following Allegations of Trading in Deceased Client’s Account
  • Trevor Rahn, Formerly of JP Morgan, Suspended by FINRA Following Allegations of Unauthorized Trading
  • Michael Cohn, Former CCO of GPB Capital, Avoids Prison Time in SEC
  • David Wall, Formerly of Voya Financial, Named in Three Pending Customer Disputes Alleging Unsuitable Recommendations