• Benjamin Lowder Jr., Formerly of MSI Financial Services, Inc., Barred by FINRA after Refusing to Appear for Testimony
  • Bruce Jordan, Director of Investment Banking for Newbridge Securities, Fined by FINRA for Alleged Sales Practice Violations
  • Cristina Sabengsy, Formerly of NYLife Securities, LLC, Barred by FINRA for Alleged Forgery of Client Signatures
  • James Lamont of Whitehall-Parker Securities, Inc. Suspended by FINRA for Alleged Unapproved Private Securities Transactions
  • Michael Sims, Formerly of Wedbush Securities, Inc., Subject of Multiple Customer Complaints
  • Rafael Golan, Formerly of Crystal Bay Securities, Inc., Barred for Failure to Respond