A recent disciplinary action by the Financial Industry Regulatory Authority (FINRA) has resulted in sanctions against Taglich Brothers Inc. (CRD #29102) for violations of Regulation[...]
FINRA Enforcement Actions
The Financial Industry Regulatory Authority (FINRA) has barred former securities representative Jeyakumar Nadarajah (CRD #5666532) from associating with any FINRA member firm in all capacities[...]
A recent disciplinary action by the Financial Industry Regulatory Authority (FINRA) has placed Arkadios Capital, LLC (CRD #282710) under regulatory scrutiny for supervisory failures tied[...]
The Financial Industry Regulatory Authority (FINRA) recently took a significant step to protect the public by permanently barring former broker James (Jim) Thaddeus Walesa from[...]
When excessive trading occurs in a retail investment account, the financial damage often extends far beyond market losses. High commissions, margin interest, and frequent turnover[...]
When investors entrust their savings to financial professionals, they rely on a framework of oversight to keep the markets honest. At the heart of this[...]
The Financial Industry Regulatory Authority (FINRA), through its Department of Enforcement, recently filed a formal disciplinary complaint involving Sutter Securities Inc. (CRD No. 30770) and[...]