• Corbin Lambert, Former CEO of Continuum Financial, Charged by SEC with Conducting Cherry-Picking Scheme
  • Lindner Capital Investors and its Founder, Robert J. Lindner, Charged by SEC
  • Craig Zabala, Owner of Concorde Group Holdings, Charged with Fraud by SEC
  • Andrew Perri, Investment Adviser with Pinnacle Wealth Management, Named in Customer Dispute Alleging Unsuitable Recommendations
  • Michael Martino, Broker with Four Points Capital Partners, Facing Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
  • John Orlando, Broker with SW Financial, Facing Pending Customer Disputes Over Unsuitable Investment Recommendations