• Michael Sievert, Financial Advisor with Arkadios Capital, Named in Customer Disputes Regarding GPB Capital Holdings
  • John Harman, Formerly of Berthel Fisher and Royal Alliance, Suspended by FINRA for Violating FINRA Rule 2010
  • Elias Hafen, Formerly of Wells Fargo and Morgan Stanley, Sentenced to 30 Months in Prison for Fraud
  • Gus Marwieh, President of Marwieh Advisory Services, Has Registration Revoked by Texas Securities Board
  • Daniel Castoriano, Formerly of Century Securities Associates, Suspended by FINRA for Failure to Provide Information
  • Mason Gann, Formerly of Berthel Fisher, Suspended by FINRA Over Alleged Unsuitable Investments