FINRA’s department of enforcement has filed a complaint against Sutter Securities Inc. and its former chief executive over alleged excessive trading in the account of a 89-year-old retired client, ...

Finra has fined a California-headquartered broker dealer $475,000 for a years-long failure to establish and maintain adequate supervisory systems to prevent excessive trading that resulted in millions ...

The Financial Industry Regulatory Authority’s Department of Enforcement has filed a complaint alleging that Sutter Securities in Irvine, Calif., and part owner Keith Charles Moore failed to notice ...

Regulators have accused a New York City brokerage firm of running a four-year fraud involving excessive trading that produced $46 million in revenue. That amounted to two-thirds of Spartan Capital ...