• Daniel Arcuri Jr., Formerly of Thrivent Investment Management, Named in FINRA Complaint for Failure to Appear
  • Adam Lunceford, Financial Advisor at LPL Financial, Named in Customer Dispute Seeking $250,000
  • Frederick Stow, Formerly of Raymond James & Associates, Discharged Following Allegations of Client Fund Misappropriation
  • Ami Forte and Charles Lawrence, Formerly of Morgan Stanley, Barred by FINRA for Alleged Churning
  • Dennis Mehringer Jr., Formerly of Western International Securities, Barred by FINRA Following Refusal to Provide Information
  • Wallachbeth Capital Consents to Censure and $60,000 Fine