• Nicolas Barrios Formerly of UBS Financial Services Barred for Failure to Cooperate With FINRA
  • Eric Weschke of Kalos Capital Faces Complaints for Unsuitable Investment Recommendations in GPB Capital
  • Raymond James Financial Advisor Disclosures Include Four Customer Disputes
  • Investigation of Former Illinois Broker Adam M. Lopez
  • Former New York Broker Michael Bastardi Barred by FINRA
  • Investment Losses with Financial Advisor Gary Meier