• Investigation: Jim Seol, barred by FINRA for participating in private securities transactions
  • Southwest Securities: Information for Investors
  • Investigation: Brant Andrew Ray, formerly of Cetera Advisors
  • Investigation: Walter Joseph Marino, formerly of Lincoln Investment
  • Investigation: James Davis Trent, formerly of AXA Advisors LLC
  • Investigation: Ronald Broadstone, formerly of UBS Financial Services