• Broker Investigation: Scott Newsholme of Farmingdale, New Jersey
  • Investigation: Charles Fackrell, Former LPL Financial Broker & Convicted Ponzi Scheme Felon
  • FINRA Investigating Broker Dealers over Sales Practices and Supervision of Sales of VIX Related Products
  • Investigation: Broker William Brunner Barred by FINRA for Unsuitable Trading
  • Investigation: UBS Financial Advisor John Robert Morris
  • Broker Investigation: Nicholas Genovese