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- Advisor William Baum Subject to Multiple Customer Disputes
6 January 2020 - Philip Sparacino Barred By Regulator Over Excessive Trading
6 January 2020 - Advisor Clint Keener Barred By Regulator Over Unsuitable Recommendations
30 December 2019 - Advisor Jeffrey Dixson Has Customer Complaint Over Alternative Investments and GPB Capital
30 December 2019 - Advisor Brian Lockett Suspended By Regulator; Subject to Multiple Client Complaints
27 December 2019 - Advisor Genevieve Mar Has Complaints Over Alternative Investment Sales
27 December 2019 - Advisor Justine Zhou Accused of Selling Private Real Estate Investments – Recovery Options
26 December 2019 - Advisor Steven Netzel Has Customer Complaint Over Alternative Investments
26 December 2019 - Katherine Nishnic Has Investor Complaints Over Structured Note Products
24 December 2019
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