• Peter Ianace, Formerly of Wells Fargo, Barred by FINRA For Refusing to Cooperate with Investigation
  • Rani Soto, Formerly of Prudential Investment Management, Named in FINRA Complaint Alleging Failure to Disclose Outside Business Activities
  • Gary Wykle and Alejandro Cortes, Principals of The Republic Group, Charged by SEC for Engaging in Alleged Ponzi Scheme
  • Matthew Clason, Formerly of LPL Financial, Charged by SEC With Stealing Client Funds
  • Joseph Woitkoski, Formerly of Raymond James Financial Services, Suspended by FINRA Following Allegations of Exercising Discretion in Clients’ Accounts
  • Christopher Lee Hibbard, Formerly of Merrill Lynch, Pleads Guilty to Fraud Charges