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FINRA Rule 8210
April 23, 2026
FINRA Permanently Bars Peter Thomas Lawrence for Refusing to Cooperate with Investigation into Alleged Signature Forgery
April 23, 2026
FINRA Bars Park Ridge Broker James Thaddeus Walesa After Investigation into $300,000 Speculative Private Placement Sold to an 85-Year-Old Client and Her Daughter
February 23, 2026
FINRA Permanently Bars Joseph E. O’Shea Jr. of Spartan Capital Securities for Refusing to Testify in Excessive Trading Investigation
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