• Five National Broker-Dealers Fined More Than $9M for Excessive Commissions
  • SEC Charges Georgia Loan Executive with Running $140 Million Ponzi Scheme
  • Jarrett Carter Thomas Suspended by FINRA for Unauthorized Transactions
  • Jonathan Earl Best Sanctioned by FINRA for $14M Unauthorized Trades
  • Derek Lee Copeland Barred by FINRA for Nearly $11M in Private Deals
  • Nathan D. Caldwell Barred by FINRA After Refusing To Cooperate With Document Request