Staff AttorneyNov 10, 20182 minFinancial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ AccounThe Financial Industry Regulatory Authority (FINRA) recently announced Richard H. Yada (Yada) entered into a Letter of Acceptance, Waiver...
Staff AttorneyOct 30, 20182 minFINRA Brings Complaint against LPL Broker Brian Lawrence Stephan for Unsuitable Mutual Fund RecommenThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Brian Lawrence Stephan (Stephan) in connection...