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unsuitable investments
September 16, 2026
FINRA fines Sacramento-area firm The Logan Group Securities $70,000 over willful Reg BI violations in deferred variable annuity sales and a Form CRS that denied its disciplinary history
August 28, 2026
FINRA suspends former Grove Point broker Clayton K. Shum over a recommended $400,000 annuity addition for an 84-year-old, reverse mortgages, and customer data
August 27, 2026
FINRA suspends Cambridge Investment Research broker Shuai Wang over late, inaccurate disclosure of referral fees tied to about $495,000 in tax-oriented investments
August 24, 2026
FINRA orders WestPark Capital to pay $345,073 in restitution over GWG L Bond sales to moderate-risk customers
July 17, 2026
FINRA suspends former Portsmouth Financial Services compliance officer Randy Cleve Fox over unpaid $82,600 GWG L Bond arbitration award
July 15, 2026
FINRA fines Oakland firm Infinity Financial Services $25,000 and orders $25,436 in restitution over failure to supervise variable annuity exchanges
June 19, 2026
FINRA complaint alleges Sutter Securities and former CEO Keith Moore failed to stop $2.5 million in excessive trading in an 89-year-old client’s accounts
April 10, 2026
Ralph A. Jackson III, former Morgan Stanley broker, has $7.38 million in customer dispute settlements disclosed on BrokerCheck
November 9, 2025
FINRA suspends Mack Leon Miller of Spartan Capital for excessive trading that cost senior customers $71,022 in losses
November 8, 2025
FINRA suspends Joseph Kelly of Spartan Capital Securities for excessive trading that generated $365,344 in commissions and caused $262,683 in customer losses
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