On September 4, 2026, Mason refused to provide documents and information requested 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 at least January 2018 to October 2024, Guerra engaged in business-related communications outside of Jefferies’ approved communication channels that were not captured or supervised by the firm. By causing Jefferies to maintain incomplete books and records, Guerra violated FINRA Rules 4511 and 2010 and is suspended in all capacities for one month and fined $5,000.