Virtu Americas, LLC [CRD: 149823, New York, New York] was sanctioned in a FINRA Letter of Acceptance, Waiver and Consent issued on July 20, 2026, over its limit order display obligations. The AWC appears in FINRA's Disciplinary and Other FINRA Actions report for September 2026.

Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]

Financial Industry Regulatory Authority sanctioned securities broker Arthur Craigg McRae [CRD: 4697209, Williamsville, New York], given the public information found on BrokerCheck. McRae worked for Wells Fargo Advisors Financial Network LLC from August 1, 2014, to October 3, 2024. Investors are encouraged to continue reading to discover more about McRae’s disclosures. FINRA Suspended And Fined […]

MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]

FINRA suspended securities broker Clayton Kwok Shum [CRD: 4412927, Burlingame, California], and one or more investors complained about him, given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shum worked for Grove Point Investments LLC from December 1, 2020, to January 12, 2023, and Grove Point Advisors LLC from April 1, 2021, to January […]

Investors have reportedly disputed the sales practices of securities broker Kyle Lindner [CRD: 5421697, Katy, Texas], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kyle Lindner worked for State Farm VP Management Corp. from January 9, 2008, to November 8, 2024. Investors are encouraged to continue reading to discover more about the […]

FINRA sanctioned securities broker Lester Joel Hochler [CRD: 3209012, McDonough, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hochler worked for Cape Securities Inc. from March 17, 2016, to April 14, 2026, and joined American Global Wealth Management Inc. on December 5, 2019. He was also associated with G.F. […]

Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Cape Securities Inc. from April 21, 2020, to February 25, 2026, and Cape Investment Advisory Inc. from April 6, […]

Investors potentially incurred losses because of securities broker Stephen Glover Parks [CRD: 5074732, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Parks worked for Skystone Securities LLC from June 12, 2020, to December 24, 2025. See below to discover more about the disclosures involving Stephen Parks. FINRA Sanctioned Parks For […]