• Esmeralda Espinoza, Formerly of First Financial Equity, Named in Customer Dispute Alleging Lack of Information
  • Derek Christopher Roy, Broker with Fidelity Brokerage Services, Named in Customer Dispute Alleging He Withheld Material Information
  • George Paul Fill, Broker with Rockwell Financial Group, Named in Customer Dispute Alleging Unauthorized Trades
  • Jason Leonard Garofalo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
  • Gerald James Ohalloran, Broker with Union Capital Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
  • Eric Shea Hollifield, Formerly of LPL Financial, Files Lawsuit Alleging LPL Financial’s Responsibility for Misappropriation of Funds