• Keith Simmons, Broker with Merrill Lynch, Facing Customer Dispute Seeking $1M in Damages
  • Darryl Cohen, Broker with Morgan Stanley, Facing Customer Dispute Seeking $5M in Damages
  • Tamber King Proctor, Formerly of Securities America, Named in Customer Dispute Alleging Unsuitable Recommendations
  • Javelin Mikol San Nicolas, Formerly of Edward Jones, Barred by FINRA After Refusing to Provide Information
  • Megurditch Mike Patatian, Formerly of Western International Securities, Charged by FINRA with Unsuitable Investment Recommendations
  • Elliot Smerling – Florida Fund Manager at JES Global Capital – Accused of Forging Investment Documents to Obtain $95M Loan