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• May 10, 2024 After $13 Million in Penalties for 'Widespread Failure,' Oppenheimer Fined $500,000 for Supervisory and Suitability Gaps

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• Feb 24, 2023 Beverly Hills Broker Antoine Souma Barred After Failing to Cooperate with FINRA Investigation

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• May 13, 2022 Ex-Morgan Stanley Broker Nikolay Zotenko Cited for Improperly Marketing Private Placements

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• Jul 28, 2021 Regulators Crack Down on Record Keeping and Broker Communications via E-mail, Text Message, WhatsApp, and Social Media

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• Apr 13, 2021 Steven Schisler Accused of Recommending Elderly Clients Invest in Promissory Note Issued by Partner Previously Barred for Defrauding Investors

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• Mar 18, 2021 Whitehall-Parker Securities, Robert James Yuloo Cited for Failing to Supervise Broker Who Sold Fraudulent Woodbridge Ponzi Scheme Products

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• Jul 11, 2020 JP Morgan's Adrienne Mak Barred Over Claims She Used Personal Email, Cell Phone to Communicate With Customers

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• Jun 20, 2020 E-mail Communication Failures - What a Terminated CEO, WhatsApp Broker, Woodbridge & FIP Have in Common

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• Jun 5, 2020 LPL's Donald Padilla Suspended for Circumventing Firm Supervision, Unapproved Email Accounts

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