• Charles Thomas Stevens, Formerly of D.H. Hill Securities, Facing Customer Dispute Seeking $100K in Damages
  • 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.