Review News FINRA Charges James Brett Stuart: Faces Allegations of Negligence Brooklyn lightDecember 26, 2023 December 26, 2023 On December 7, 2022, FINRA investigated James Brett Stuart (CRD #: 3022149), a broker previously registered with Richfield Orion Int... 017900
Review News Jose Luis Centeno Accused of Faking Compliance Records in FINRA Investigation Brooklyn lightDecember 26, 2023 December 26, 2023 Jose Luis Centeno, a broker employed at Wedbush Securities Inc., is currently under investigation by FINRA. The inquiry contends tha... 012000
Review News Stewart Ginn Accused of Exploiting Clients in FINRA Complaint Brooklyn lightDecember 26, 2023 December 26, 2023 Stewart Ginn, a broker affiliated with Independent Financial Group (IFG), is facing allegations from FINRA of engaging in churning a... 013200
Review News Beliveau Bays Under FINRA Scrutiny: Disciplinary Action Details Brooklyn lightDecember 26, 2023 December 26, 2023 Background Beliveau Bays (CRD #: 6034987) is a financial advisor currently facing investigation by the Financial Industry Regulatory... 011500
Review News John David Sullivan Accused of Breaking FINRA Rules Brooklyn lightDecember 26, 2023 December 26, 2023 Background John David Sullivan, a financial professional, is currently facing a FINRA complaint. The complaint alleges that he did n... 09700
Review News Peter James Fetherston: FINRA Examines Allegations of Fund Diversion Brooklyn lightDecember 23, 2023 December 23, 2023 On May 3, 2022, Peter James Fetherston from Garden City, New York, became a respondent in a FINRA complaint, accused of unlawfully u... 07700
Review News Career of Philip Michael Connors Ends with FINRA Sanctions Brooklyn lightDecember 23, 2023 December 23, 2023 Background of Philip Michael Connors Connors initially became a General Securities Representative (GS) registered with FINRA in Janu... 010200
Review News FINRA strikes James Michael Green for Unauthorized Client Order Execution Brooklyn lightDecember 23, 2023 December 23, 2023 Background of James Michael Green Green initially joined FINRA in July 2005 in connection with Edward D. Jones & Co., L.P. (CRD... 06500
Review News FINRA Imposes Sanctions on Jorge Hernandez Over Rule Violations Brooklyn lightDecember 23, 2023 December 23, 2023 Background of Jorge Hernandez Hernandez worked in the securities industry beginning in April 2007. He joined Gradient Securities in... 05500
Review News FINRA Bars Todd Michael Lesk: Broker Faces Permanently Banned Status Brooklyn lightDecember 23, 2023 December 23, 2023 Brief about Todd Michael Lesk Todd Michael Lesk has had relationships with FINRA-affiliated organizations since 1997. As a General S... 010000