• Roman Corona, Former Morgan Stanley Broker, Barred for Refusing to Appear for Testimony During Finra Investigation
  • 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