• Susan Penney, Broker for Kovack Securities, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
  • David Austin, Formerly of JP Morgan, Barred by FINRA Following Allegations He Stole $144K from Customers
  • Dee Dee Brooks, Formerly of Signator Investors, Barred by FINRA Following Unapproved and Undisclosed Outside Business Activities
  • Joe Allbright, Formerly of Farmers Financial Solutions, Suspended Following Allegations He Engaged in Unauthorized Private Securities Transactions
  • Matthew Muratori, Formerly of Pruco Securities, Barred by FINRA for Failing to Provide Testimony
  • Arni Diamond, Formerly of Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations