FINRA Disciplinary Actions

The Financial Industry Regulatory Authority (FINRA) has barred Douglas John McCauley (CRD #1257811) of Arlington, Vermont, from associating with any FINRA member firm in any capacity after he failed to provide documents requested during an investigation into his outside business activities. On December 8, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC)

The Financial Industry Regulatory Authority (FINRA) has barred Christopher Ziogas (CRD #1110989) of Bristol, Connecticut, from associating with any FINRA member firm in any capacity after he refused to provide documents and information requested during a regulatory investigation. On November 26, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2025085310001.

The Financial Industry Regulatory Authority (FINRA) has barred former TransAmerica Financial Advisors broker George Jing (CRD #2835725) after he allegedly refused to cooperate in an investigation into undisclosed outside business activities and private securities transactions. According to FINRA’s Letter of Acceptance, Waiver, and Consent (No. 2025086695201), the regulator requested documents and information from Jing in

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