• Nathan Paul Macdonald, Broker with Cetera Advisors, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
  • Frank Lucien Van Houten, Formerly of LPL Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
  • Eric Shea Hollifield, Formerly of LPL Financial, Barred by FINRA Following Refusal to Appear for Testimony
  • William Nicholas Athas, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Trading and Breach of Fiduciary Duty
  • Steven Michael Richardson, Broker with LPL Financial, Named in Customer Dispute Alleging Excessive Trading
  • Christina Lindsey Orta, Broker with Cambridge Investment Research, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations