• Avi Bailo, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
  • Thomas Edison Kelly Jr., Broker with Aegis Capital, Named in Customer Dispute Alleging Various Forms of Misconduct
  • Jeffrey Donald Noard, Broker with Emerson Equity, Named in Customer Dispute Alleging Various Forms of Misconduct
  • Marcus Boggs, Formerly of Merrill Lynch, Barred by SEC Following Allegations of Misappropriation
  • Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation
  • Miche Jean, Formerly of Morgan Stanley, Named in Complaint by FINRA Alleging Failure to Appear for Testimony