• Central American Couple Pursues 6-Figure Northstar Financial Services (Bermuda) Claim Against Ocean Financial Services
  • John Winslow, Formerly of Edward Jones, Barred by FINRA Following Refusal to Provide Information
  • Marianne O’Shee Smith, Formerly of Cetera Advisors, Barred by FINRA Following Diversion of Client Funds
  • Tony Barouti, Broker with Emerson Equity, Named in Customer Dispute Alleging Losses in Customer Accounts
  • Vincent Leonard Petrangelo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Supervise
  • Jorge Luis Alfonso, Formerly with Snowden Account Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations