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Recent Posts

FINRA suspends Kevin C. Yang (CRD #2834317, Pasadena, California)

March 7, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Yang was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. Without admitting or denying the findings,...

FINRA suspends Timothy John Beall (CRD #4458189, Eau Claire, Michigan)

March 8, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Beall was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for nine months. Without admitting or denying the findings, Beall...

FINRA suspends Omer Ozeren (CRD #6171522, Chatsworth, California)

March 9, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ozeren was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all capacities for three months, and ordered to pay $9,388, plus interest, in...