FINRA Disciplinary Actions

The Financial Industry Regulatory Authority (FINRA) has barred Michael Cheng Ning (CRD #1229733) of Torrance, California, from associating with any FINRA member firm in any capacity after he failed to provide documents requested in connection with a regulatory investigation. On November 17, 2025, an Office of Hearing Officers (OHO) decision became final under FINRA Case

The Financial Industry Regulatory Authority (FINRA) has barred Ronald G. Smith (CRD #6038062) of Stamford, Connecticut, from associating with any FINRA member firm in any capacity after he refused to provide requested documents during an investigation into potential excessive trading. On November 10, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under

The Financial Industry Regulatory Authority (FINRA) has barred Ana Maria Dimco (CRD #6264698) of Chelsea, Massachusetts, from associating with any FINRA member firm in any capacity following findings that she improperly used firm funds and failed to cooperate with a regulatory investigation. The November 3, 2025 Office of Hearing Officers (OHO) decision became final under

The Financial Industry Regulatory Authority (FINRA) has barred former Spartan Capital Securities advisor Ron Smith (CRD #6038062) after he refused to fully comply with requests for documents and communications related to an investigation into his trading activity. FINRA records show that Smith, now a broker with Sanford C. Bernstein & Co. and an investment advisor

The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley advisor Eric Kleiner (CRD #4135180) after he refused to provide documents and information requested as part of an investigation into his termination and alleged misconduct. According to a Letter of Acceptance, Waiver, and Consent (No. 2024084330501) signed in October 2025, FINRA sought materials related