• Ronald Roach, Formerly of Securities America, Barred by SEC for Alleged Participation in Ponzi Scheme
  • Murry Shapero, Broker for Maxim Group, Suspended by FINRA for Unauthorized Trading
  • Leon Almeida, Broker for MML Investors Services, Named in Customer Dispute Alleging Misrepresentation
  • David Kendrick, Formerly Of NYLife, Suspended by FINRA for 18 Months
  • Gerald Eaton, Formerly of Commonwealth Financial Network, Barred by FINRA for Failing to Provide Information
  • Robert Genito, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Information