• Frederic O’Hara, Formerly of Sagepoint Financial, Suspended by FINRA Over Allegations He Engaged in Unapproved Outside Business Activities
  • John Stuart Crain, Formerly of Summit Brokerage Services, Suspended by FINRA Following Allegations That He Altered Documents
  • Herbert Hafen, Formerly of Morgan Stanley, Charged with Misappropriating Client Funds
  • Jerry Szilagyi, CEO of Catalyst Capital Advisors, Sanctioned by SEC Regarding Material Misstatements and Omissions
  • Matthew Baltz, Formerly of Cambridge Investment Research, Facing Customer Dispute Alleging Variable Annuity Losses
  • Bart Bohrer, Formerly of Capital Financial Services, Named in Customer Disputes Totaling Over $1M