• Terrence Bonk, Formerly of Feltl & Co., Suspended by FINRA Following Allegations He Borrowed Money from a Customer
  • Rodney Potratz, Employed by FSC Securities, Named in Customer Dispute Concerning Alternative Investment Recommendations
  • Gustavo Trujillo Franco, Formerly of Global Strategic Investments, Named in FINRA Complaint Regarding Alleged Fraudulent Wire Transfers
  • Kimberly Springsteen-Abbott, Formerly of Commonwealth Capital Securities, Barred by FINRA for Allegedly Misusing Investor Funds
  • Daryl Serizawa, Formerly of Independent Financial Group, Under Investigation for Recommending GPB Capital Private Placements
  • Martin Batstone, Formerly of Newbridge Securities, Barred by FINRA Following Allegations of Converting Funds