Brown Associates, Inc. [CRD: 5049, Chattanooga, Tennessee] was censured and fined $30,000 in an AWC issued by FINRA, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026.

The Logan Group Securities [CRD: 40259, Roseville, California] was censured and fined $70,000 in a FINRA disciplinary action, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. FINRA found that the firm, listed in the report as Logan, Kevin Christopher dba The Logan Group Securities, willfully violated Reg BI and Form CRS requirements. The firm consented to the sanctions and to the entry of findings without admitting or denying them, according to the Letter of Acceptance, Waiver and Consent (AWC) issued July 27, 2026.

RBC Capital Markets, LLC (CRD #31194, New York, New York) was censured and fined $275,000 after an AWC found the firm failed to develop and implement an anti-money laundering compliance program reasonably designed to detect and cause the reporting of suspicious transactions, according to FINRA's September 2026 disciplinary report.

Brian James Pavelko [CRD: 6347352, McAdoo, Pennsylvania] was barred from association with any FINRA member in all capacities, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. The entry states that Pavelko appealed an OHO decision to the NAC in which he had been barred for failing to provide certain information and documents requested by FINRA. The action is dated July 10, 2026, per the report.

Jeremy Squires, also known in FINRA records as Jeremy Jeffery Squires [CRD: 6584655, Center Point, Iowa], was suspended by FINRA for one month, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026.

Brown Associates, Inc [CRD: 5049, Chattanooga, Tennessee] was sanctioned in a FINRA Letter of Acceptance, Waiver and Consent issued on July 20, 2026, over due diligence on private placement offerings. The AWC appears in FINRA's Disciplinary and Other FINRA Actions report for September 2026.

Centaurus Financial, Inc [CRD: 30833, Anaheim, California] entered into a Letter of Acceptance, Waiver and Consent with FINRA addressing supervisory failures tied to variable annuity exchange recommendations, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026.

TastyTrade, Inc, CRD number 277027, Chicago, Illinois, was censured and fined $850,000 by FINRA, according to an AWC dated July 21, 2026. The firm consented to the sanctions and to the entry of findings without admitting or denying them. FINRA Case #2017056224801 covers the matter.

Kim Thien Tran (CRD #5575725, Sugar Land, Texas) was suspended from association with any FINRA member in all capacities for nine months, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. An AWC issued on July 2, 2026 found that Tran falsified documents and information relating to a customer's life insurance policy and commingled customer funds with her own. Tran consented to the sanctions and to the entry of findings without admitting or denying them, according to the AWC.