• Investigation: Gaylon Edward Joullian, an Investment Advisor at AXA Advisors, LLC
  • Investigation: Saly Glassman, financial broker at Merrill Lynch
  • Investigation: Erick J. Arnett of Dalton Strategic and Rnett Consulting
  • Investigation: Talman Harris, formerly with Radnor Research & Trading Company
  • Investigation: Ralph Marra, former broker with Morgan Stanley and UBS
  • Investigation: Jaoshiang Luo formerly of Westrock Advisors, Inc.