• Cecil Ross, Formerly of LPL Financial, Suspended by FINRA for Four Months
  • Ezri Shechter, Employed by Spencer-Winston Securities, Suspended by FINRA for Three Months
  • Jeannette Adcock, Formerly of David A. Noyes & Company, Named in Customer Dispute Related to Sale of Illiquid Structured Certificates of Deposit
  • Jeremy Rosen, Broker for Nationwide Planning Associates, Inc., Accused of Making Unsuitable Recommendations
  • Dain Stokes, Formerly of LPL Financial, is Facing Allegations of Converting Client Funds through a Fake African Charity
  • Lake Tahoe Lawyer Accused of Fraud and Money Laundering