• Former Broker Edward Beyn Barred for Churning and Excessively Trading Customer Accounts
  • 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