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Failure to Supervise
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September 23, 2023
Best Interest Rule Violation Cited in Unsuitable REIT Recommendation and Overconcentration
July 26, 2023
Westpark Capital's Nicholas Tocco Sanctioned for AML Compliance, Supervisory Failures
April 17, 2023
RBC Ordered to Pay $1.1 Million Over Supervision Failures
February 24, 2023
Beverly Hills Broker Antoine Souma Barred After Failing to Cooperate with FINRA Investigation
February 10, 2023
Centaurus Financial Penalized $1 Million for Unsuitable Structured Product Sales
November 13, 2022
Pasadena-Based Western International Securities Fined $400k for Deficient REIT Supervision
June 16, 2022
Western International Securities Charged with Violating Regulation Best Interest by Recommending and Selling Unsuitable and Risky GWG L Bonds
April 13, 2022
GWG Holdings Unit Seeks Waiver of Default
