• Matthew Gates, Broker with VCS Venture Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations and Excessive Trading
  • Anthony John Pitta, Broker with Capital Investment Group, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
  • Kenneth James New, Broker with Center Street Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
  • Joseph Albert Ambrosole, Formerly of Joseph Stone Capital, Barred by FINRA After Allegations of Unsuitable Trading
  • Gregory William Melendez, Broker with Laidlaw & Company, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments
  • Kevin Richard Wilson, Formerly of SW Financial, Facing Multiple Customer Disputes Alleging Misrepresentations and Other Misconduct