• Broker Joseph Kelly Sanctioned Over Alleged Excessive Trading and $2.4 Million in Customer Disputes
  • Patrick Michael Carroll Suspended as Centaurus Financial Ordered to Pay $634k Restitution
  • Broker Jing Li Suspended for Willfully Hiding Felony Grand Theft Charges on Form U4
  • Broker Curtis Wayne Smith Suspended for Impersonating a Customer
  • Broker Andrew Stephen Mogol Suspended by FINRA for Free-Riding
  • Jacob Lee Harper Suspended by FINRA for Improper Customer Loans