• Jack Brewer, Formerly of Brewer Capital Management, Charged by SEC with Insider Trading
  • Sylvester Knox, Formerly of Merrill Lynch, Suspended by FINRA for Alleged Unauthorized Trading and Failing to Disclose Felony Indictment
  • Raymond Ferro – Ex-Woodbury Financial Broker – Faces Allegations of Theft
  • Christopher Bennett, Formerly of Hilliard Lyons, Barred by FINRA After Failing to Provide Documents
  • Frederick Levine, Broker with RBC Capital Markets, Suspended by FINRA Following Allegations of Unsuitable Recommendations
  • Joseph Michaletz, Broker with DAI Securities, Facing Customer Disputes Over GPB Capital Investments