• Stephen Sloane, Broker for Westpark Capital, Charged by FINRA with Recommending Unsuitable Investment Strategies
  • Bryant Caveness, Formerly of Ameriprise Financial Services, Barred by FINRA Over Ethics Violations
  • Mark Hopkins, Formerly of American Portfolios Financial Services in Michigan, Charged by SEC with Misappropriating Client Funds
  • Robert Buffington, Formerly of Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
  • Scot Fairchild, Broker with Lucia Securities, Named in Customer Dispute Seeking Over $200K in Damages
  • Thomas Kelly Jr., Broker with Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations