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  • Juan Sosa: FINRA Bars Ex-SagePoint Advisor Over Conversion Allegations

    Former Studio City, California financial advisor Juan Sosa (CRD# 4059846) has been barred in connection with allegations that he converted...

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  • Joe Cucinotta: FINRA Suspends Independent Financial Advisor

    Radnor, Pennsylvania financial advisor Joe Cucinotta (CRD# 3272604) was recently suspended in connection with allegations that he falsified customer signatures....

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  • Robert Omohundro: LCORE Advisor Lands Suitability Complaint

    Atlanta financial advisor Robert Omohundro (CRD# 2415942) has received multiple investor complaints alleging that he recommended unsuitable investments, resulting in...

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  • Lucy Cueller: Suitability Complaint Against Northpoint Advisor

    Warrenville, Illinois financial advisor Lucy Cueller (CRD# 3089802) recently received an investor complaint alleging that she made unsuitable investment recommendations....

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