FINRA Sanctions Pending Review for Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi and D Michael Cruz

Posted on Jan 16, 2018

John Christopher Oldham, Gold Canyon, AZ Suspended for 3 months from FINRA

Posted on Jan 3, 2018

Wells Fargo Broker-Dealers to Pay $3.4 M in Restitution

Posted on Nov 13, 2017

FINRA has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 M in restitution to affected customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and related supervisory...

$13M in Fines and Restitution for Failure to Supervise UIT Sales

Posted on Nov 2, 2017

3 Things to Know About Financial Designations

Posted on Oct 16, 2017

Eric Joseph Miller Barred From Association With Any FINRA Member

Posted on Jun 21, 2017

Eric Joseph Miller of Scottsdale, AZ, has been barred from association with any FINRA member in any capacity.  Mr. Miller failed to appear and provide FINRA with requested testimony at a disciplinary hearing....