• William Frier, Formerly of Parkland Securities, Accused of Recommending Leveraged ETFs
  • Wenjinn Chang, Broker for Independent Financial Group, Named in Customer Dispute Alleging Unsuitable Investments
  • Mark Reinstein, Formerly of Sandlapper Securities, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations
  • Robert David, Formerly of Morgan Stanley, Facing Multiple Customer Disputes Alleging Misconduct
  • Viqas Akhtar, Broker for National Securities Corporation, Named in Multiple Customer Disputes Alleging Unsuitability
  • Barry Pechenik, Broker for Morgan Stanley, Named in Customer Dispute Seeking $1M in Damages