• Investigation: Bernardo Misseri formerly of Legend Securities
  • Investigation: Dennis A. Mehringer, Jr., of Western International Securities
  • Investigation: Kelly Clayton Althar, formerly of Financial West Group & Paulson Investment Company
  • Investigation: Henry Dean Watson, former broker at Hilliard Lyons
  • Investigation: Ken Balser formerly of Cetera Advisors
  • Investigation: John Corsi of Sterne Agee Financial Services