Insights
January 10, 2022
WestPark Capital, of Los Angeles California, and its CEO, Richard Rappaport, have been sanctioned and fined $280,000 collectively by the Financial Industry Regulatory Authority (“FINRA”) for misrepres...
January 6, 2022
Merrill Lynch has been fined $1.5 million by the Financial Industry Regulatory Authority (“FINRA”) for its failure to implement written supervisory procedures and systems reasonably designed to achiev...
January 3, 2022
NYLIFE Securities LLC has been censured and fined by the Financial Industry Regulatory Authority (“FINRA”). According to FINRA’s findings of fact , NYLIFE failed to take reasonable steps to review its...
August 13, 2021
Dwight Dykstra (“Dykstra”), a Maitland, Florida stockbroker, has been suspended from acting as a broker for one year by the Financial Industry Regulatory Authority (“FINRA”). Dykstra allegedly engaged...
July 9, 2021
Xiangyu “Sean” Zhang has been indefinitely barred from association with any Financial Industry Regulatory Authority (“FINRA”) member in all capacities as of August 2019. Zhang was previously registere...
April 9, 2021
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $4.6 million award against Interactive Brokers and Charles Schwab in a case brought by over two dozen custo...
April 6, 2021
MML Investors Services Broker Brian Michael Travers has been barred by FINRA for failing to cooperate with their investigation into claims of undisclosed outside business activities and private securi...
April 6, 2021
Stock broker Charles Fackrell, of Yadkinville, North Carolina, used to work for LPL Financial, LLC. He was permanently barred by FINRA in February 2015, after he failed to cooperate in FINRA’s investi...
February 12, 2021
According to a letter of acceptance, waiver and consent issued by FINRA, from June 3, 2015 to July 31, 2017, Triad Advisors failed to establish and maintain a reasonable supervisory system to achieve ...
November 20, 2020
Moloney Securities Co. Inc. was recently censured and fined $100,000 and required to pay $15,574.13, in restitution to a customer. The FINRA findings stated that Moloney, from January 2013 through Apr...
November 19, 2020
The Financial Industry Regulatory Authority (“FINRA”) has banned Louis Cook, who was a Staten Island, New York-based representative for National Planning Corporation and Securities Service Network. FI...
November 17, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred Dee Dee Brooks, of Sarasota, Florida, based on findings that, while acting as an agent of Signator Investors, Inc., Brooks engaged in p...
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