Discipline

Posts In Discipline

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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The Logan Group Securities Cited for Multi-Share Class Variable Annuity Violations Mar 25
FINRA fined and censured The Logan Group of Roseville, California for failing to establish, ...
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JP Morgan Broker Trevor Rahn Disciplined for Unauthorized Trading, Improper Discretion, and Mismarking Solicited Orders Mar 23
FINRA fined and suspended former JP Morgan Securities Managing Director Trevor Bradner Rahn of the ...
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Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures Mar 22
FINRA censured Growth Capital Services of San Francisco, California and fined the firm $35,000 for ...
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