In April 2025, Burton failed to provide documents requested by FINRA pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

From March 2023 through May 2023, Sorrow converted $838 in funds derived from four fraudulent checks that she deposited into her bank accounts at her firm’s affiliated bank. As a result, Sorrow violated FINRA Rule 2010 and is barred from associating with any FINRA member in all capacities.

The Department of Enforcement alleges: Respondent Meredith Webber failed to respond to requests for documents and information that FINRA made pursuant to FINRA Rule 8210 and failed to provide on-the-record (“OTR”) testimony that FINRA requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into whether Webber misappropriated funds from two elderly customers. As a result, Webber violated FINRA Rules 8210 and 2010.

From May 22, 2021, to February 6, 2024, Regulus did not disclose its own and its control affiliate’s disciplinary history in the firm’s customer relationship summary (Form CRS). By filing and delivering to customers a Form CRS that omitted required information, Regulus willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010 and is fined $20,000...