• Michael Alejandro Castillero, Formerly of Windsor Street Capital, Charged by SEC with Operating Ponzi-like Scheme
  • Jeffrey Brian Forehand, Broker with First Allied Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable, High-Risk Investments
  • Todd Dwain Gauthier, Broker with Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
  • Linda Rotsztein, Formerly of Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
  • Kenneth David Blumberg, Broker with Stifel Nicolaus & Company, Named in Customer Dispute Alleging Recommendations of Unsuitable Investments
  • Thomas James Baumann, Formerly of Spartan Capital Securities, Under Investigation by FINRA Following Allegations of Churning