Jenny Xinfang Feng Suspended by FINRA from Securities Industry For Unethical Treatment of Elderly Customer

2021-02-20T16:09:48-05:00February 20th, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Jenny Xinfang Feng (CRD # 6312900) was recently suspended from the securities [...]

Stock Broker Fraud: Daniel Gordon Maughan Sanctioned for Excessive Trading and Unsuitable Recommendations

2020-02-11T17:13:43-05:00December 19th, 2019|FINRA - Broker Actions, Securities Law|

Daniel Gordon Maughan, Registered Rep Formerly with Financial West Group Has Disciplinary Proceedings Brought Against Him by FINRA for Excessive Trading and Unsuitable Recommendations in Customer [...]

Go to Top