• James Booth, former LPL Financial Broker, Charged by SEC with Operating Ponzi Scheme
  • Summit Brokerage Services Fined, Ordered to Pay Restitution for Broker ‘Churning’
  • Fred Brown, Formerly of Merrill Lynch, Suspended by FINRA for Accepting Client Loans and Nondisclosure
  • Shawna Choate, Former Spencer Edwards Broker, Investigated by Finra for Falsifying Documents
  • Curtis Ile, Former Sigma Financial Advisor, Suspended by FINRA for Alleged Unauthorized Trading
  • Rand Heckler, Formerly of Benjamin & Jerold Brokerage, Barred from FINRA for Unsuitability and Misrepresentation