• Nicholas Palumbo, Formerly of Park Avenue Securities, Under Investigation for Alleged “Selling Away”
• Rich Jackman, Broker with Crown Capital Securities, Facing $4M Customer Dispute Alleging Unsuitable Recommendations
• Gihan Anil Fernando, Broker with BOK Financial Securities, Facing $1M Customer Dispute Alleging Unsuitable Recommendations
• Thomas Fross, Broker with LPL Financial, Facing Customer Dispute Alleging Unsuitable Portfolio Changes
• Merrill Lynch Pays Record $26.25M in Fines and Restitution in New Hampshire Case Involving Ex-Broker Charles E. Kenahan.
• Angelo Kafkes, Broker with Wells Fargo, Facing $100K Customer Dispute Alleging Unsuitable Recommendations

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