• Brenda Smith, Formerly of CV Brokerage, Barred After Failing to Provide Requested Documents
  • Mark Lamkin, Former LPL Financial Broker Allegedly Received Undue Compensation
  • Derrick Trussell, Former PFS Investments Broker, Barred from FINRA for Failure to Provide Information
  • Christopher Jorgensen, Former Summit Brokerage Broker, Barred From FINRA for Refusing to Provide Information
  • James Bylenga, Former LPL Financial Broker, Barred From FINRA for Receiving Client Loans
  • Broker Manish Shah, Formerly of Northwestern Mutual, Barred from FINRA for Fraud