• Darren Kubiak, Kalos Capital Advisor, Has $1M in Pending Complaints
  • Bobby Coburn, Former Securities America Broker, Barred from FINRA for Failure to Appear
  • Gurpreet Chandhoke and Stephen Shea, Formerly of Arete Wealth Management, Respondents in Multi-Million FINRA Complaint
  • Daniel Maughan, Former Financial West Broker, Hit with Finra Complaint Alleging Churning
  • Daniel Maughan, Formerly of Financial West Group, Barred by FINRA Following Churning Allegations
  • Ricky Mantei, Former J.P. Turner Broker, Subject of Finra Complaint Alleging Violations of Firm’s Supervisory Policy