• Timothy Jude Pagliara, Formerly of CapWealth Investment Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Unsuitable Recommendations
  • Martin Bradley Winges, Broker with Momentum Independent Network, Named in Customer Dispute Alleging Misrepresentations and Unsuitable Recommendations
  • Michael Richard Rosalia, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Recommendations, Churning, and Other Misconduct
  • Jonathan Eric Ellefson, Broker with Intervest International Equities Corporation, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct
  • Clinton Edward Curtright, Broker with Morgan Stanley, Named in $6M Customer Dispute Alleging Misrepresentation and Violation of Regulation Best Interest
  • Richard Alan Maas, Broker with LPL Financial, Named in Customer Dispute Alleging Lack of Diversification