• John August Van Wambeke, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Keep Clients Updated
  • Debra Lynn Clark, Broker with Hornor, Townsend & Kent, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
  • Thomas Craig Bonds, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
  • Robert Earl Turner, Formerly of Stifel, Nicolaus & Company, Named in Multiple Customer Disputes Alleging Misappropriation and Fraud
  • Nikolay Zotenko, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Engaging in Misleading Marketing of Private Placements
  • Eduardo Moliterno Da Cruz, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses