• Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Charged by SEC with Stealing Client Funds
  • Cynthia Cowden, Formerly of NPB Financial Group, Barred by FINRA Following Allegations of Recommending Unsuitable Investments
  • Valerie Ceballos, Formerly of Wells Fargo, Barred by FINRA After Refusing to Appear for Testimony
  • Brian Rando, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Information
  • Matthew Garrett, Formerly of MML Distributors, Barred by FINRA Following Failure to Respond to Request for Information
  • Daniel Levine, Formerly of Morgan Stanley, Barred by FINRA After Failing to Provide Requested Information