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Municipal Securities
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August 08, 2024
Janney Montgomery Scott Fined for Failing to Report Trades, Supervisory Failures
July 30, 2024
FINRA Cites FNBB Capital Markets for Supervisory and Disclosure Failures
January 06, 2022
RBC Capital's Unsuitable Concentration in High-Yield Bonds Nets $1 Million Settlement
September 20, 2017
Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients
February 02, 2017
Lawson Financial, CEO Robert Lawson Barred for Fraudulent Municipal Bond Sales
April 13, 2016
Former Wedbush Associate Shiva Naby Fined $25k & Suspended for Falsifying MSRB Documents
May 01, 2015
Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers
March 05, 2015
Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds
