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December 22, 2016
Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures
June 02, 2016
E*Trade Securities Censured, Fined $900k for Trade Review & Supervisory Failures, Failure to Ensure Protection of Confidential Info
April 21, 2016
Ryan Logan Fined & Suspended for Improperly Changing Client Contact Information, Causing Inaccurate Database
October 14, 2015
FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200
April 07, 2014
Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information
