• Sean Donovan Casterline, Broker with Delta Securities, Suspended by FINRA Following Allegations of Participation in Private Securities Transactions
  • David Robert Kennon, Formerly of First Allied Securities, Facing Pending Customer Disputes Alleging Various Misconduct
  • Michael Shillin Permanently Barred by SEC Following Allegations He Defrauded Over 100 Clients
  • Andrew James Pravlik, Broker with Coastal Equities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
  • John Quinn, Formerly of Valic Financial Advisors, Suspended by FINRA Following Allegations of Participating in Private Securities Transactions Without Approval
  • Joseph Augustien Lianzo, Broker with SW Financial, Suspended by FINRA Following Allegations of Failure to Supervise