• Philip Sparacino, Formerly of First Standard Financial Company, Barred by FINRA Following Termination
  • Timothy Millis, Formerly of NYLife Securities, Suspended Following Allegations of Unsuitable Investments
  • Lance Roman Armstrong, Formerly of Raymond James Financial Services, Barred for Failure to Assist in Investigation
  • Tariq Sales, Formerly of Newbridge Securities, Facing Allegations of Negligence
  • John Santariello, Formerly of Arive Capital Markets, Named in Customer Dispute Alleging Churning
  • Richard Pittman, Broker for Cetera Advisors, Named in Dispute Over Suitability