Broker Alert: Eric Olin Shanks barred for “Selling Away”
Broker Alert: Charlotte Financial Advisor, James “Jim” Heafner, Fired for Risky Outside Investments
Broker Alert: Gary L. Pevey Serving One Year Suspension, Failed to Notify His Firm of Private Transactions
Broker Alert: Benjamin Galloway Barred for Rules Violations
Bruce Anthony Zaro Suspended by FINRA for Forging Client Signature
Joshua Zev Miller Suspended by FINRA for 12 Months for Check-Kiting Scam
