FINRA sanctions Andrew Stephen Mogol for Reg BI violations tied to non-traded REIT recommendations
FINRA sanctioned broker Andrew Stephen Mogol (CRD 3126881) and his firm for willfully violating Regulation Best Interest with complex product recommendations.
FINRA suspends Todd Peter Arnoldussen for undisclosed private securities transactions
FINRA suspended broker Todd Peter Arnoldussen (CRD 1929970) for four months and fined him $10,000 over undisclosed private securities transactions involving customer funds.
Former GWG Holdings Chair Charles Zurn Convicted in $150 Million Investor Fraud Scheme
Former GWG Holdings chair Charles Zurn faces life in prison after a Manhattan jury convicted him of diverting $150 million from retail investors. The verdict ...
