• Glenn Mueller, of Northridge Holdings, Charged by SEC for Orchestrating Ponzi Scheme
  • Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Barred by FINRA for Allegedly Converting Client Funds
  • Michael Barry Carter, Former Morgan Stanley Broker, Barred from FINRA for Misappropriation
  • Bernie Adair, of Merrill Lynch, Involved in Pending Dispute of $550,000 for Alleged Misrepresentation
  • Timothy Johnson, Former MML Investors Services Broker, Discharged Following Allegations He Diverted Customer Funds
  • Eric Savell, Former LPL Financial Broker, Suspended Five Months for Unauthorized Private Securities Transaction