• Andrew Grant, Broker for Laidlaw & Co., Suspended by FINRA for Unauthorized Trading
  • Paul Petrillo, Formerly of Thrivent Investment Management, Barred by FINRA Following Allegations of Selling Away and Undisclosed Private Securities Transactions
  • Albert Foronda, Formerly of Legend Securities, Suspended by FINRA for Unauthorized Transactions
  • Dexter Thomas, Formerly of LPL Financial, Subject to Multiple Customer Disputes
  • Bradley Mascho, Formerly of Western International Securities, Barred by SEC For Alleged Participation in Ponzi Scheme
  • Jason LaBelle, Broker for LPL Financial, Suspended and Fined Over Alleged Participation in Undisclosed Outside Business Activities