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... 023900
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... 016100
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... 017600
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... 016300
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... 012000
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... 013500
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... 010400
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... 08200
Blacklisted Forex Brokers HSBC Securities Inc.: Unveiling Conflicts – FINRA Case Analysis 2023 Eliza CarterDecember 21, 2023 December 21, 2023 Overview of HSBC Securities Inc On October 9, 2023, HSBC Securities Inc. faced sanctions, including censure and a $2,000,000 fine, f... 021000
Review News Traderfield Securities and Mario Divita Face FINRA Penalties Brooklyn lightSeptember 21, 2017 December 26, 2023 In August 1987, Traderfield Securities became a FINRA member. It is based in Flushing, New York, with a single branch office employi... 01K4310