2021

Posts In 2021

Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements Apr 28
FINRA barred Sun Hyung Kim, formerly a broker at Kayan Securities in Los Angeles, California, for ...
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FINRA Bars John Lee Scott of LPL Financial (Phoenix) During Outside Business Activity nad Private Securities Transaction Investigation Apr 26
FINRA barred John Lee Scott, formerly of LPL Financial in Phoenix, as a result of an investigation ...
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SPAC Buying Slows as Regulators Propose Rule Change, Reviews of Prior SPACs Apr 21
A CNBC analysis of special purpose acquisition companies (SPACs) confirmed that while SPACs enjoyed ...
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Steven Schisler Accused of Recommending Elderly Clients Invest in Promissory Note Issued by Partner Previously Barred for Defrauding Investors Apr 13
FINRA filed a complaint against former IFS Securities (Grass Valley, CA) broker Steven Douglas ...
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Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures Apr 12
FINRA censured and fined Independent Financial Group (IFG) $200,000 for failing to supervise a ...
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James Hedges Cited for Misrepresenting, Failing to Disclose $6 Million of Financial Events on Questionnaire Apr 05
FINRA fined and suspended former Triple A Partners LLC (Los Angeles, California) broker James ...
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