• Former Broker Joseph Alhadeff Barred by FINRA After Refusing to Provide Information and Documents Requested
  • Jose Cornide Jr., Broker with UBS Financial, Facing 8 Pending Customer Disputes Alleging Unsuitable Recommendations and Misrepresentation
  • Forrest Jones, Formerly of Merrill Lynch, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
  • Former Broker Zachary Scott Wagner Barred by FINRA After Refusing to Provide Testimony in Connection with Investigation Concerning Potential Misuse of Customer Funds
  • Ryan Raskin Barred by FINRA After Failing to Provide Information and Documents Requested
  • David Zupek, Broker with Concorde Investments, Facing Two Pending Customer Disputes