Transaction Trouble: Nicholas Blake Williams Faces Regulations with $5,000 Fine and Ban
On October 17, 2023, Nicholas Blake Williams of Fair Oaks Ranch, Texas, was subject to disciplinary action after an Acceptance, Waiv...
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Regulatory Storm: Gerald Michael Taylor Faces $10,000 Fine and Ostracization
Gerald Michael Taylor, a resident of Huntington, Tennessee, was the subject of regulatory action on October 17, 2023, following the...
FINRA’s Regulatory Actions: Todd Morris Mezrah Hit with $10,000 Fine and 20-Day Ban
Todd Morris Mezrah, a Tampa, Florida resident, recently found himself the target of regulatory action after an Acceptance, Waiver, a...
FINRA Slams Kenneth John Arellano: $5,000 Fine and 30-Day Ban
Kenneth John Arellano of Victor, New York, was subject to disciplinary measures in an enforcement action dated October 17, 2023, by...
Nicholas Michael Caruso Faces Three-Month Ban in Regulatory Crackdown by FINRA
On October 12, 2023, Nicholas Michael Caruso of Howell, New Jersey, was dealt a serious blow when he received an Administrative Well...
Career Catastrophe: Frank L. Martin Hit with 3-Month Ban by FINRA
An Administrative Wells Notice (AWC) was issued on October 11, 2023, signaling a turning point in Frank L. Martin‘s career. A...
Arun Kumar Aggarwal Banned: FINRA’s Forceful Action Sends Shockwaves
Arun Kumar Aggarwal of Raleigh, North Carolina, was the target of regulatory action on October 11, 2023, when the Financial Industry...
Disciplinary Debacle: Hits James R. Dickie in FINRA AWC
James R. Dickie, a resident of Rancho Cordova, California, was the target of a regulatory action on October 10, 2023, when the Finan...
Arni Jay Diamond Faces Disciplinary Action: Shocking Revelation by FINRA
An Administrative Waiver and Consent (AWC) was granted in the case of Augustine, Florida resident Arni Jay Diamond on October 9, 202...
Scott Michael Bremus: Suspensions and Fines Imposed by FINRA
According to the terms of an Acceptance, Waiver, and Consent (AWC) published by the Financial Industry Regulatory Authority (FINRA),...