• William LeBoeuf, Ohio-based Investment Advisor, Suspended by FINRA Over Alleged Unauthorized Private Securities Transactions
  • Jason LaBelle, Broker for LPL Financial, Suspended and Fined Over Alleged Participation in Undisclosed Outside Business Activities
  • Robert Henderson, Formerly of IFS Securities, Sued by FINRA for Unauthorized Outside Business Activities
  • Triad Advisors Subject to Multiple Disputes Regarding Sales of GPB Capital Private Placements
  • Jason LeBlanc, Formerly of Girard Securities, Barred by FINRA Following Allegations that he Failed to Disclose Several Outside Business Activities
  • Christopher Kozak, Formerly of Cetera Advisors, Suspended by FINRA for Failure to Disclose an Outside Business Activity