Broker Joseph Kelly Sanctioned Over Alleged Excessive Trading and $2.4 Million in Customer Disputes
Patrick Michael Carroll Suspended as Centaurus Financial Ordered to Pay $634k Restitution
Former Wedbush Broker William Sandeman Barred After $3.5 Million in Alleged ETP Losses
FINRA Complaints Involving Substantial Investor Losses: October 2026 Update
Scammed Into Moving Money From Your Brokerage Account? When May the Firm Be Responsible?
2026 FINRA Broker Misconduct Watchlist: High-Loss Claims, Churning and Unauthorized Trading


