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, ...
FINRA fined and suspended former NBC Securities broker Brian Gregory DiJulio for exercising ...
FINRA suspended and fined former Wells Fargo (Los Angeles, CA) broker Michael David Garris for ...
FINRA ordered Summit Brokerage Services, which is a Cetera Financial Group independent ...
