• Tony Esses, Broker with Wells Fargo, Facing Customer Dispute Alleging Fraud
  • Christopher Fernan, Formerly of Salomon Whitney Financial, Barred by FINRA Over Failure to Provide Testimony
  • Troy Baily, Formerly of Sagepoint Financial, Suspended by FINRA While Facing $135K Customer Dispute Alleging Improper Investment Recommendations
  • John H. Geary, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Exercised Discretion Without Written Authorization
  • Travis Nelson, Formerly of Charles Schwab, Suspended Over Allegations of Forging Client Signatures
  • Rodney Stuart Ferguson, Broker with NY Life, Facing $170K Customer Dispute Alleging Unsuitable Recommendations