• FINRA Fines Centaurus Financial $1.1 Million Over Variable Annuity Sales and Reg BI Violations
  • Broker Andrew Stephen Mogol Suspended by FINRA for Free-Riding
  • Anthony Tianfeng Cheng Barred by FINRA Over Undisclosed OBAstion, investor recovery, FINRA Arbitration Tracker
  • Peter Thomas Lawrence Barred by FINRA Amid Forgery Investigation
  • Jacob Lee Harper Suspended by FINRA for Improper Customer Loans
  • J.P. Morgan Securities Sanctioned by FINRA Over Supervision of Leveraged and Concentrated Trading Strategy