• Nina Maines, Broker and Investment Adviser with Cadaret, Grant & Co., Suspended by FINRA Following Allegations of Unauthorized Discretionary Trading
  • 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