Jeffrey L. Rittberger, a former broker with The Huntington Investment Company, has agreed to a $10,000 FINRA fine and a 45-day suspension from the industry relating to complaints…

LPL Financial LLC will pay the state of Texas $110,855 and offer remediation to Texas investors as part of a multi-state settlement regarding LPL’s sales of non-traded Real…

Brokerage firm J.P. Turner & Company, LLC ("Turner") has accepted a $525,000 fine from FINRA relating to allegations that it failed to properly supervise its brokers. According to the…

Commonwealth Financial Network advisor James Michael Johnson has agreed to a $50,000 fine and a two-year suspension from the securities industry relating to a complaint that he made…

Pin Financial, L.L.C. advisor Jeffery Risinger has been banned from the securities industry after failing to provide documents and information relating to a FINRA investigation. According to the…

Cetera Investment Services, L.L.C. consented to a public censure, a FINRA fine, and customer restitution following FINRA’s allegations that Cetera failed to apply volume discounts to certain customers’…