• Edward James Lyons, Formerly of Raymond James & Associates, Inc., Accused of Unauthorized Trading and Recommending Unsuitable MLPs
  • Halil Kozi, Formerly of Windsor Street Capital, Faces FINRA Complaint for Alleged Churning and Excessive Trading
  • Kalos Capital Sued Over Allegations that Broker Hunter McFarlin Sold Private Placements in GPB Capital
  • Kerry Hoffman, Formerly of LPL Financial, Sued by SEC for Selling $3.3 Million in Unregistered Securities
  • Clayton Wertz, Formerly of First Canterbury Securities, Barred from FINRA for Creating False Account Statements
  • Glenn Mueller, of Northridge Holdings, Charged by SEC for Orchestrating Ponzi Scheme