Posts in August, 2019

Soon after ex-Cetera Advisors registered representative George Craig Merhoff's ban from the ...

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, ...