In April 2025, Burton failed to provide documents requested by FINRA 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.

From March 2023 through May 2023, Sorrow converted $838 in funds derived from four fraudulent checks that she deposited into her bank accounts at her firm’s affiliated bank. As a result, Sorrow violated FINRA Rule 2010 and is barred from associating with any FINRA member in all capacities.

The Department of Enforcement alleges: Respondent Meredith Webber failed to respond to requests for documents and information that FINRA made pursuant to FINRA Rule 8210 and failed to provide on-the-record (“OTR”) testimony that FINRA requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into whether Webber misappropriated funds from two elderly customers. As a result, Webber violated FINRA Rules 8210 and 2010.