• Top Broker Fired by UBS Financial Services for Violating Firm Policies
  • Broker-Dealer Ordered to Pay $205,000 in FINRA Sanctions
  • Millions of Dollars Disappeared from Accounts Controlled by Accused Health Insurance Fraudster Steven Dorfman
  • FINRA Suspends Thomas Edward Sova for Selling $250,000 in Woodbridge Ponzi Scheme Promissory Notes
  • FINRA Suspends Kirk James Bertsch for Participating in the Unauthorized Sale of Promissory Notes
  • Broker Investigation: Michael Patrick Murphy of Columbus Advisory Group, History of Complaints and Disclosures