Unauthorized Trading - Jonathan W. Evans & Associates

A preliminary determination by FINRA recommends disciplinary action be brought against Los ...

FINRA barred Sun Hyung Kim, formerly a broker at Kayan Securities in Los Angeles, California, for ...

FINRA fined and suspended former JP Morgan Securities Managing Director Trevor Bradner Rahn of the ...

FINRA barred broker Ryan Ashley Raskin months after Merrill Lynch of Beverly Hills, CA discharged ...

FINRA fined and suspended LPL Financial broker Arthur Obermeier, formerly of LPL's Boulder, Colorado ...

Barred by FINRA in 2018, former Voya Financial Advisors broker James Travis Flynn aka Jim Flynn's ...