• Ryan Tarjanyi, Formerly of Trustmont Financial Group, Named in FINRA Investigation Alleging Various Forms of Misconduct
  • James Kenneth Couture, Formerly of LPL Financial, Barred by FINRA Following Refusal to Produce Information
  • Robyn Simons, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
  • Gary Hammond, Former North Carolina Broker, Barred by FINRA Following Allegations of Participating in Private Securities Transactions Without Written Notice
  • Andrew Slocum, Formerly of Charles Schwab, Barred by FINRA After Failing to Respond to Information Request
  • Michael Shillin, Formerly of Alliance Global Partners, Barred by FINRA After Refusing to Provide Documents or Information