• Matthew Platnico, Broker with Allied Millennial Partners, Facing Over $1.5M in Pending Customer Disputes
  • Michael Bell, Broker with Cetera Advisor Networks, Facing Customer Dispute Alleging Unsuitable, Over-Concentrated Investments
  • Felipe Henao Vargas, Broker with Insigneo Securities, Facing $1.3M Customer Dispute Involving VIX Short-Term Futures ETN
  • Maurice McKinney, Broker with Concorde Investment Services, Facing $1M Customer Dispute Regarding REIT Investments
  • David Taddeo, Broker with LPL Financial, Facing Pending Customer Dispute Alleging Issues with Variable Annuity Income Withdrawals
  • Felix Chu, Formerly of NY Life, Facing Two Pending Customer Disputes Alleging Unsuitable Promissory Note Investments