• Scott Wolfrum, Formerly of David A. Noyes Company, Ordered to Cease and Desist by SEC
• James Kirchner, Formerly of David A. Noyes & Company, Accused of Making Unsuitable Investment Recommendations
• Jeannette Adcock, Formerly of David A. Noyes & Company, Named in Customer Dispute Related to Sale of Illiquid Structured Certificates of Deposit
• Broker Investigation: Sam Aziz