• Variable Annuity Life Insurance Company Facing SEC Investigation over High-Cost Retirement Investments
  • Christopher Kozak, Formerly of Cetera Advisors, Suspended by FINRA for Failure to Disclose an Outside Business Activity
  • Paul Wescoe Smith, Formerly of Bolton Global Capital, Barred by the SEC and FINRA Following…
  • Kim Kopacka, Formerly of IMS Securities, Barred by FINRA Following Allegations She Helped Her Husband Produce $6 Million in Commissions
  • Trevor Rahn, Formerly of JP Morgan, Facing Allegations of Unauthorized Trading
  • Alan Appelbaum, Broker for Aegis Capital, Involved in Multiple Customer Disputes Alleging Unsuitability