• Jerry McCutchen, Former Berthel, Fisher & Company Broker, and Other Executives Ordered to Pay $1.16
  • Michael Packman, Former Axiom Capital Management Broker, Alleged to Have Sold Unsuitable Securities from GPB Capital
  • Sylvester Knox, Formerly of FSC Securities, Denied Registration in Multiple States
  • Charles Kenahan, Former Merrill Lynch Broker, Hit with $42 Million Customer Dispute Alleging Churning
  • Daniel Soliman, Formerly of JP Morgan, Barred From FINRA for Failing to Participate in Investigation
  • Roman Corona, Former Morgan Stanley Broker, Barred from FINRA for Undisclosed Accounts