2015 FINRA Enforcement Actions. Financial Advisor Fined and Suspended by FINRA After Zix. Oct 2005 FINRA Letter of Acceptance Waiver and Consent No. Wells Fargo Stockbroker Suspended for Engaging in Private. FINRA Charges Oppenheimer & Co for Multiple Compliance. Broker-Dealer and CFO Settle FINRA Charges for Operating. Citadel Securities Ats andreapicciniit.