• Christopher Dyer Queen, Broker with Wells Fargo, Facing Customer Dispute Alleging Breach of Fiduciary Duty
  • 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