• FINRA Fines Centaurus Financial $1.1 Million Over Variable Annuity Sales and Reg BI Violations
• FINRA Expels Reid & Rudiger LLC and Bars Co-Founders Over Egregious Churning and Reg BI Violations
• FINRA Fines Broker-Dealer Over Regulation Best Interest Failures: What Investors Should Know About Supervisory Breakdowns