• Robert Jonathan Spencer, Formerly of Cetera Advisor Networks, Barred by FINRA Following Refusal to Produce Documents and Information
  • Christopher Edward Bond, Broker with National Securities Corporation, Suspended by FINRA Following Allegations of Unauthorized Trading
  • Howell Gregory Ferguson, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Forged a Client’s Signature
  • Paul Richard McGonigle, Formerly of LPL Financial, Indicted on Fraud and Money Laundering Charges
  • Dennis Phillip Ayre, Formerly of Hilltop Securities, Barred by FINRA Following Refusal to Appear for Testimony
  • Todd Michael Hayse, Broker with Wells Fargo, Named in Customer Dispute Alleging Unauthorized Trading