Excessive Trading - Jonathan W. Evans & Associates

In January 2020, FINRA ordered Oppenheimer & Co. to pay $3.8 million in restitution and fines for ...

FINRA opened an investigation into Stephen Sloane, a Westpark Capital broker fired by Morgan Stanley ...

FINRA fined Wells Fargo Advisors for failing to reasonably supervise a representative who ...

FINRA barred broker Daniel Gordon Maughan of Financial West Group's Brentwood (Los Angeles, CA) ...

A FINRA arbitrator ordered former Raymond James broker John Charles Wyshak of the firm' Los Angeles, ...

FINRA fined JP Morgan Securities $1.1 million for failing to timely disclose at least 89 instances ...