• Christina Lindsey Orta, Broker with Cambridge Investment Research, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
  • Roderick K Von Lipsey, Broker with UBS Financial, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation
  • Kirk Edward Pickell, Broker with Janney Montgomery Scott, Facing Pending Customer Dispute Alleging Unsuitable Investments
  • Jeffrey Daniel Basford, Broker with David Lerner Associates, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation
  • David John Volpe, Formerly of LPL Financial, Named in Customer Dispute Alleging Conversion of Client Funds
  • Peter Werner David, Formerly of Woodbury Financial, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations