Municipal Securities

Posts In Municipal Securities

Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients Sep 20
FINRA suspended former Citigroup Global Markets, Merrill Lynch, and Fidelity Brokerage Services rep ...
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Lawson Financial, CEO Robert Lawson Barred for Fraudulent Municipal Bond Sales Feb 02
FINRA expelled Phoenix-based Lawson Financial Corporation, Inc. and barred President and CEO Robert ...
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Former Wedbush Associate Shiva Naby Fined $25k & Suspended for Falsifying MSRB Documents Apr 13
The FINRA Office of Hearing Officers suspended former Wedbush Securities associate Shiva Naby of the ...
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Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers May 01
FINRA suspended Purshe Kaplan Sterling Investments broker Larry M. Phillips of Woodland Hills, ...
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Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds Mar 05
FINRA fined, suspended and ordered former Edward Jones broker Dalas Lee Gundersen of Willows, ...
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FINRA Charges Wedbush, Peter Julijs Auzers, Shiva Naby, and Samantha Arrieta McAfee in MSRB Supervisory Failure, Untimely Reporting of $13.5 Million-worth of Transactions Dec 24
FINRA's Department of Market Regulation charged Wedbush Securities Inc. and three employees—Peter ...
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