• Antoine Nabih Souma – Formerly of Insigneo Securities – Barred from Financial Services Industry
  • Delio Eduardo Londono, Formerly with Sagepoint Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading
  • Leo Li-Yuan Chien, Broker with Cetera Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
  • Peter Girgis, Formerly with SW Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading
  • Stephen Robert Coma, Broker with Hilltop Securities, Named in Customer Dispute Seeking $13M in Damages
  • William Worthen King, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unauthorized Trading