Posts in April, 2013

FINRA fined former NFP Securities, Inc. associate Kenneth Raden Miller $20,000 and suspended him for ...

FINRA suspended former Private Asset Group, Inc. principal Daryl Marc Holzberg of Tustin Ranch, ...

FINRA suspended supervisor Sean Placido Rodriguez of Glendale, California, fined him $10,000 and ...

FINRA barred Charles Chul Nam of Tarzana, California and ordered the former Woodbury Financial ...

FINRA suspended Summit Equities, Inc. representative Robert Louis Iola, Jr. and fined him $5,000 for ...

In a default decision, FINRA barred former LPL Financial, LLC broker Jon Patrick Horvath for an ...