Posts In Discretionary Trading

FINRA barred former Vorpahl Wing Securities and LPL Financial (both Spokane, WA) broker Lee Victor ...

FINRA fined and suspended American Wealth Management (Novato, CA) broker Jason Lee Seale for ...

FINRA fined and suspended former JP Morgan Securities Managing Director Trevor Bradner Rahn of the ...

FINRA fined and suspended LPL Financial broker Arthur Obermeier, formerly of LPL's Boulder, Colorado ...

Citing widespread losses by advisory clients who held the iPath S&P 500 VIX Short-Term Futures ETN ...

One of a broker professional obligations is to the Financial Industry Regulatory Authority's queries ...