• FINRA Bars Mark Allen Larson (Stillwater, Minnesota) From Securities Industry Following Withdrawal From Customer Annuity Using Forged Signature
  • FINRA Fines, Suspends Scott Lawrence Olson (Melbourne, Florida) Following Use of Misleading, Exaggerated Advertisements
  • FINRA Censures, Fines Douglas Evan Greenberg (Lake Oswego, Oregon) for Unauthorized Trades
  • FINRA Fines, Suspends Raymond James Broker Theodore Edward Williams, Jr. (Lake Forest, Illinois) for Unauthorized Trades
  • FINRA Fines, Censures Raymond James & Associates, Inc., for Improper Handling of Fail-to-Deliver Positions
  • FINRA Fines, Censures Orion Trading, LLC, for Inadequate Supervision, Sale of Unregistered Securities