• Matthew Nekuza, Formerly of TD Ameritrade, Barred by FINRA Over Allegations of Conversion of Firm Funds and Providing False Testimony
  • Ivan Shore, Oppenheimer Financial Advisor, Accepts FINRA Suspension Over Alleged Pattern of Unsuitable Recommendations
  • Royce Running, Broker with Centaurus Financial, Facing Customer Dispute Alleging Unsuitable and Illiquid Investment Recommendations
  • Kevin Fretz, Formerly of LPL Financial, Facing Allegations of Unsuitable Investment Recommendations in Non-Traded REITs
  • Vonna Kay Husby, Formerly of Raymond James Financial Services, Barred by FINRA Over Failure to Cooperate with Investigation
  • Chris Tolmacs, Formerly of Triad Advisors, Facing Customer Dispute Alleging Unsuitable Investments