FINRA Brings Disciplinary Proceedings Against Sutter Securities Inc. for Reg BI Violation

FINRA Brings Disciplinary Proceedings Against Sutter Securities Inc. for Reg BI Violation

Kevin J. Deloatch, Esq.2026-08-05T11:48:22-05:00January 26th, 2026|Uncategorized, Conflicts of Interest, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Sutter Securities, Inc. (CRD # 30770) was recently the subject of a [...]

The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation

The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation

Kevin J. Deloatch, Esq.2026-08-05T11:49:52-05:00July 26th, 2024|Securities Law, Conflicts of Interest|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, The Jeffrey Matthews Financial Group, L.L.C. (CRD # 41282) was recently sanctioned [...]