• Barbara Ann Bernatzky, Formerly of Henley & Company, Barred by FINRA Following Refusal to Appear for Testimony
  • Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products
  • James David Beaudoin, Broker with Great Point Capital, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
  • Richard Glenn Shaw, Broker with Lincoln Financial Advisors, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
  • Murray Todd Petersen, Formerly of Ameriprise Financial Services, Named in Multiple Customer Disputes Alleging Fraud and Negligence
  • Marlene Yacenda, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Harassment