• FINRA Fines, Censures Raymond James & Associates, Inc. For Failures Related to Corporate Bond Pricing
  • FINRA Fines Deutsche Bank Securities, Inc. $275,000 for Supervisory Failures Related to Swap Trades Involving US Equities
  • FINRA Bars Joseph Mahmud from Securities Industry Following Misappropriation of $95,000 from Customer Annuity
  • FINRA Bars Former Wells Fargo Representative Adrienne Marie Llamas (Long Beach, California) From Securities Industry Following Cherry-Picking Scheme with Convicted Former Wells Fargo Broker Philip D. Horn
  • FINRA Bars Adorean Boleancu (Napa, California) From Securities Industry, and Orders $650,000 Restitution Following Conversion of Elderly Client’s Funds
  • FINRA Fines, Suspends Darrell Wayne Mikulencak (Washington, Missouri) Following Submission of Falsified Documents to Chase Investment Services Corp.