• Phillip Conley, Formerly of Merrill Lynch, Charged by SEC for Allegedly Defrauding Investors
  • Gerald Dewes, Formerly of Cadaret, Grant & Co., Barred by FINRA for Refusing to Appear for Testimony
  • Jonathan Pyne, Broker for Berthel, Fisher & Co., Accused of Unsuitable Investment Recommendations
  • Robert D’Andria, Broker for International Asset Advisory, LLC, Suspended by FINRA for Two Months
  • Anthony Sica, Broker for Joseph Gunnar & CO., Facing $750k Customer Dispute
  • James Flower, Formerly of SW Financial, Facing Allegations of Churning and Excessive Trading