• 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
  • Hannah Peterson Weber, Broker for Merrill Lynch, Named in $1 Million Customer Dispute