Posts in April, 2021

A preliminary determination by FINRA recommends disciplinary action be brought against Los ...

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 ...