Investors have reportedly disputed the sales practices of securities broker Joel T. Barjenbruch [CRD: 5295640, Omaha, Nebraska], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Barjenbruch worked for LPL Enterprise LLC from November 14, 2024, to the present, as well as Prudential Financial Planning Services from July 6, 2023, to […]

FINRA, the Financial Industry Regulatory Authority, has eased up on a controversial interpretation of its new suitability rule in a move that is bound to make the industry happy writes Dan Jamieson in a recent artilce in InvestmentNews.com. The new guidance issued December 10th., 2012, FINRA backtracked from an earlier interpretation of the rule, which […]

 Jeffrey Wayne Cimbal (CRD #2028791, Registered Principal, Parkland, Florida)  has been fined $20,000 and suspended from association with any FINRA member in any principal capacity for five months. Without admitting or denying the findings, Cimbal consented to the described sanctions and to the entry of findings that he served as his member firm’s CCO, and for […]