• Christopher Barone, Formerly of America Northcoast Securities, Barred by FINRA for Multiple Violations
  • Kerry Wills, Registered Representative with First Western Securities, Suspended by FINRA for Borrowing Money from Elderly Customer
  • Edward Matthes, Formerly of Mutual of Omaha, Consented to Fraud Charges from the SEC
  • Michele Boyer, Formerly of Concorde Investment Services, Named in Allegations of Non-Traded REIT and Energy Sector Losses
  • Michael Pellegrino, Formerly of Taylor Capital Management, Named in Allegations of Northstar REIT Losses
  • Robert Spiegel, Formerly of First Standard Financial Company, Suspended Over Allegations of Excessive Trading