• William Hightower, Formerly of UBS Financial, Facing Multiple Customer Disputes
  • Stuart Nichols, Formerly of Raymond James, Barred by FINRA Following Churning Allegations
  • Brandon Stimpson, Formerly of Allegis Investment Services, Accused of Unsuitable Investment Recommendations in Options
  • Dean Kajouras, Broker for Fordam Financial Management, Named in Multiple Customer Complaints
  • Alex Blanco, Formerly of Hornor Townsend & Kent, Inc., Facing Allegations of Unsuitable Investments
  • Steven Yellen, Formerly of JP Morgan, Consented to One-Year Suspension and $25,000 Fine