On November 2, 2021, while associated with Ameriprise, Parker instructed a trader to effect 310 unauthorized transactions in the non-discretionary accounts of 277 customers by tendering the customers’ shares in Company A, a non-traded real estate investment trust, to participate in the company’s modified “Dutch Auction” self-tender offer. Parker did not receive any commissions for these transactions. By this conduct, Parker violated FINRA Rule 2010 and is suspended for 30 days and fined $2,500...

O’Shea refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, O’Shea violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...