• Yvonne Silguero, Financial Advisor for LPL Financial, Involved in $500,000 Customer Dispute
  • Rob Burns, Registered Representative with Cetera Advisors Networks, Involved in $500,000 Customer Dispute
  • Maureen Scalzo, Formerly of Benjamin F. Edwards & Company, Barred by FINRA Following Failure to Testify
  • Steve Klinger, Formerly of Wells Fargo, Barred by FINRA Following Failure to Testify
  • Michael D’Aquila, Formerly of Merrill Lynch, Barred by FINRA for Alleged Conduct Inconsistent with Firm Standards
  • Craig Siegel, Formerly of Portfolio Advisors Alliance, LLC, Suspended by FINRA for Failing to Respond to Request for Information