A preliminary determination by FINRA recommends disciplinary action be brought against Los ...
FINRA barred Sun Hyung Kim, formerly a broker at Kayan Securities in Los Angeles, California, for ...
FINRA barred John Lee Scott, formerly of LPL Financial in Phoenix, as a result of an investigation ...
A CNBC analysis of special purpose acquisition companies (SPACs) confirmed that while SPACs enjoyed ...
FINRA filed a complaint against former IFS Securities (Grass Valley, CA) broker Steven Douglas ...
FINRA censured and fined Independent Financial Group (IFG) $200,000 for failing to supervise a ...
