The Financial Industry Regulatory Authority (FINRA) has suspended two former brokers in Yorba Linda, California, for 10 months and fined each $10,000 over allegations that they participated in the sale of approximately $8 million in promissory notes issued by a private equity fund without their firm's approval, according to AdvisorHub.
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.















