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22-01537(7).pdf
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FINRA Launches Enhanced Investor Education and Protection Tools to Help Research Markets and Recognize Fraud
WASHINGTON—In a continuing effort to empower investors with the tools and knowledge they need to make informed financial decisions and avoid fraud, FINRA announced today the launch of the Market Data and Investments Explorer, as well as enhanced Risk and Scam Meters.
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September 30, 2026
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October 7, 2026
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2025088717701 Buddy Dean Mason CRD 1721391 AWC lp.pdf
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.
2024084295504 Guillermo Enrique Guerra Romiti CRD 4907302 AWC lp.pdf
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.