A registered principal from Dix Hills, N.Y., was fined $12,500 and suspended by FINRA for 35 days after his role in a dispute with his member firm.

A registered representative from Roselle, N.J., was sanctioned by FINRA for improperly handling insurance premiums.

A bill requiring insurance companies operating in New Jersey to report regulatory actions taken against them or face thousands of dollars in fines has advanced in the Senate.

A registered representative from Virginia Beach, Va., was ordered to pay a $20,000 fine for his involvement with reverse-mortgage seminars against his company’s policies and for his statements and materials for the seminars.

A registered representative from Holtsville, N.Y., was sanctioned by securities regulators after he forged customer’s signatures and initials on variable annuity applications and other documents, FINRA records show.

A Miamisburg, Ohio, securities broker was barred by FINRA for misappropriating a $90,000 inheritance two sisters received from their deceased aunt.

A registered representative from Hamilton Square, N.J., was barred from associating with any FINRA members for making improper private securities transactions.