• Rodney Stuart Ferguson, Broker with NY Life, Facing $170K Customer Dispute Alleging Unsuitable Recommendations
  • Joseph Chu, Broker with RBC Capital Markets, Facing Over $2M in Customer Disputes Involving Energy Sector Losses
  • Jonathan Freeze, Formerly of Fortune Financial Services, Facing 8 Pending Customer Disputes
  • David Turetzky, Formerly of Morgan Stanley, Facing 3 Pending Customer Disputes Alleging Failure to Supervise Management of Customer Accounts
  • Brian DiBrino, Broker with American Portfolios Financial Services, Facing $625K in Customer Disputes Alleging Negligence and Breach of Fiduciary Duty
  • Lonna Rae Dehn Ristvedt, Formerly of LPL Financial, Suspended by FINRA Over Allegations of Engaging in Private Securities Transactions