Vivek Tangudu Banned by FINRA for Lack of Cooperation
Background On August 19, 2021, Tangudu worked at Merrill Lynch without being registered. Merrill submitted an amended Form NRF on Ma...
Blacklisted Forex Brokers
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Unmask the Wolves of Wall Street! Dive into our comprehensive list of blacklisted forex brokers and avoid financial pitfalls.
Forex trading Scam: 2023 list of fraudulent brokers
If you decide to work with any of the brokerage firms on our 2023 list of fraudulent brokers, you will undoubtedly suffer losses. Th...
James P. Pelletiere faces industry ban due to violations of FINRA Rules
Brief about James P. Pelletiere In 1998, James P. Pelletiere registered as an investment company and variable contract products repr...
FINRA hits Electronic Transaction Clearing Inc. with a $100k Fine
Overview of Electronic Transaction Clearing Inc. Electronic Transaction Clearing Inc. (ETC) is a brokerage firm based in Los Angeles...
Elizabeth Ashley Nichols Accepts FINRA’s Consent: Negative Outcomes Loom
On October 5, 2023, Elizabeth Ashley Nichols of San Diego, California, was subject to disciplinary action after the Financial Indust...
Odeon Capital Group faces $100,000 fine by FINRA for Reporting Violations
Overview of Odeon Capital Group LLC Odeon Capital Group LLC, a so-called “leading” full-service boutique broker/dealer f...
Spacewong.com Exposed: The Dark Reality of Cryptocurrency Scam 2023
Spacewong.com operates as a deceptive cryptocurrency platform engaged in an intricate scam. This unregulated offshore site misleadin...
Fincompound.com Exposed: Don’t Be a Victim of Crypto Deception 2023
Fincompound.com operates as a deceptive cryptocurrency platform engaged in an elaborate scam. This unregulated offshore site falsely...
Ravid Gold Barred from FINRA Member Association: Regulatory Crackdown
Financial professional Ravid Gold, of Houston, Texas, was subject to disciplinary action on October 3, 2023, as stated in an Accepta...
BGC Financial L.P Penalized by FINRA Over Alleged Spoofing
Overview of BGC Financial L.P BGC Financial L.P. is a brokerage firm that claims to offer a wide range of investment products and se...