• September 2026 FINRA Broker Complaints Roundup: 10 Pending Customer Disputes Investors Should Know About
  • James Lukezic Faces FINRA Disciplinary Action Over Alleged $1.1 Million in Unauthorized Mutual Fund Transactions
  • Former Spartan Capital & Aegis Broker Michael Venturino Barred by FINRA Over Churning Allegations
  • Former Centaurus Broker William Rowett III Faces Pending FINRA Arbitration
  • Dean McDermott Faces Pending $227,000 DST Customer Dispute
  • Former Great Point Capital Broker Karl Suess Faces Pending DST Complaint