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Regulators Crack Down on Record Keeping and Broker Communications via E-mail, Text Message, WhatsApp, and Social Media Jul 28
After temporarily lifting some of their rules during the 2020 COVID-19 pandemic, regulators have ...
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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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Whitehall-Parker Securities, Robert James Yuloo Cited for Failing to Supervise Broker Who Sold Fraudulent Woodbridge Ponzi Scheme Products Mar 18
FINRA fined and suspended Whitehall-Parker Securities (San Rafael, California) principal Robert ...
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JP Morgan's Adrienne Mak Barred Over Claims She Used Personal Email, Cell Phone to Communicate With Customers Jul 11
FINRA barred former JP Morgan (Hacienda Heights, CA) broker Adrienne Jamie Mak after she failed to ...
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E-mail Communication Failures - What a Terminated CEO, WhatsApp Broker, Woodbridge & FIP Have in Common Jun 20
What makes the termination of Jamie Silber Bennett's registration from his own firm, Silber Bennett ...
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LPL's Donald Padilla Suspended for Circumventing Firm Supervision, Unapproved Email Accounts Jun 05
FINRA suspended Alhambra, California broker Donald George Padilla for using unapproved e-mail ...
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