FINRA barred broker Daniel Gordon Maughan of Financial West Group's Brentwood (Los Angeles, CA) ...
FINRA censured Newbridge Securities and fined the firm $225,000 for failing to adequately supervise ...
FINRA fined and suspended former Penserra Securities (Orinda, CA) broker Peter Gary Plaut for ...
FINRA censured and fined Crown Capital Securities (Orange, CA) $75,000 for failing to supervise ...
FINRA barred broker Karen Paek of Pruco Securities LLC's El Segundo, California branch for creating, ...
FINRA ordered Summit Brokerage Services, which is a Cetera Financial Group independent ...
