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Reg BI
April 8, 2026
FINRA suspends former Stifel broker Jonathon Mark Webster for recommending unsuitable stock purchases to 19 seniors instead of fee-based accounts, costing customers $121,725 in unnecessary commissions
February 23, 2026
FINRA Permanently Bars Joseph E. O’Shea Jr. of Spartan Capital Securities for Refusing to Testify in Excessive Trading Investigation
February 21, 2026
FINRA Suspends Keith M. Dagostino Two Years for Unsuitable Recommendations to Retired and Senior Investors at Aegis Capital
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