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Failure to Cooperate with FINRA Inquiry Leads to Bar for Ruben Rojas-Salvador
The Financial Industry Regulatory Authority (FINRA) permanently barred Ruben Rojas-Salvador (CRD No. 7801564)Â from associating with any...
Christopher Lufrano
2 min read
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Unauthorized Discretionary Trading Leads to Suspension for Brandon Larsen
The Financial Industry Regulatory Authority (FINRA) sanctioned Brandon Larsen (CRD No. 6192239)Â for exercising discretionary authority in...
Christopher Lufrano
2 min read
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Alleged Unauthorized Trading and Texting Violations Lead to Suspension for Joseph Warner Rozof
The Financial Industry Regulatory Authority (FINRA) sanctioned Joseph Warner Rozof (CRD No. 5274784)Â for engaging in unauthorized...
Christopher Lufrano
2 min read
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Suspension for Mack Leon Miller Due to Excessive Trading and Churning
The Financial Industry Regulatory Authority (FINRA) sanctioned Mack Leon Miller (CRD No. 2822317)Â for excessively trading the accounts of...
Christopher Lufrano
2 min read
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