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Aug 8, 2024
Janney Montgomery Scott Fined for Failing to Report Trades, Supervisory Failures
Read More
Jul 30, 2024
FINRA Cites FNBB Capital Markets for Supervisory and Disclosure Failures
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Jan 6, 2022
RBC Capital's Unsuitable Concentration in High-Yield Bonds Nets $1 Million Settlement
Read More
Sep 20, 2017
Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients
Read More
Feb 2, 2017
Lawson Financial, CEO Robert Lawson Barred for Fraudulent Municipal Bond Sales
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Apr 13, 2016
Former Wedbush Associate Shiva Naby Fined $25k & Suspended for Falsifying MSRB Documents
Read More
May 1, 2015
Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers
Read More
Mar 5, 2015
Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds
Read More
Dec 24, 2014
FINRA Charges Wedbush, Peter Julijs Auzers, Shiva Naby, and Samantha Arrieta McAfee in MSRB Supervisory Failure, Untimely Reporting of $13.5 Million-worth of Transactions
Read More
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