• Richard Alan Maas, Broker with LPL Financial, Named in Customer Dispute Alleging Lack of Diversification
  • Dennis Stephen Oleszkowicz, Broker with UBS Financial Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct
  • Scott Erik Aabel, Broker with Spire Securities, Named in Customer Dispute Alleging Unsuitable Recommendations in GWG L-Bonds
  • Dana Bruce Vietor, Formerly of CFD Investments, Named in Customer Disputes Alleging Breach of Fiduciary Duty, Unsuitability, and Other Misconduct
  • Matthew Stern Buchsbaum, Broker with UBS Financial Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitability
  • Adam Jesse Gurien, Broker with Merrill Lynch, Named in Customer Dispute Alleging Misrepresentation and Unsuitability