• Genevieve Mar, Broker for Berthel, Fisher & Company Financial Services, Named in Multiple Customer Dispute Alleging Unsuitable Investment Recommendations
  • Steve Netzel, Formerly of Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
  • Morgan Stanley Fined $382,500 For Failure to Supervise Former Broker Justin Amaral
  • Jefferey Dyra, Formerly of Bankers Life Securities, Barred by FINRA Following Refusal to Provide Information
  • Erik Pica, Broker for Joseph Stone Capital, Sued by FINRA for Misuse of Client Funds
  • Wes Baiz, Formerly of The Huntington Investment Company, Barred by FINRA Following Refusal to Provide Information