On June 11, 2019, FINRA barred Richard LaBare aka Rick LaBare, a former broker with Union Capital ...
FINRA censured and fined Crown Capital Securities (Orange, CA) $75,000 for failing to supervise ...
FINRA fined and suspended Mengxuan Zhang aka Sharon Zhang, formerly of Cetera Investment Services in ...
FINRA barred broker Karen Paek of Pruco Securities LLC's El Segundo, California branch for creating, ...
FINRA fined and suspended former Morgan Stanley broker Eric Nichols of the firm's Rolling Hills, ...
FINRA fined and suspended former NBC Securities broker Brian Gregory DiJulio for exercising ...
