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... 018000
Blacklisted Forex Brokers Regulatory Storm: Gerald Michael Taylor Faces $10,000 Fine and Ostracization ALEXA MARTINDecember 26, 2023 December 26, 2023 Gerald Michael Taylor, a resident of Huntington, Tennessee, was the subject of regulatory action on October 17, 2023, following the... 012100
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... 012100
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... 013300
Blacklisted Forex Brokers FINRA’s Regulatory Actions: Todd Morris Mezrah Hit with $10,000 Fine and 20-Day Ban ALEXA MARTINDecember 26, 2023 December 26, 2023 Todd Morris Mezrah, a Tampa, Florida resident, recently found himself the target of regulatory action after an Acceptance, Waiver, a... 011300
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... 011700
Blacklisted Forex Brokers FINRA Slams Kenneth John Arellano: $5,000 Fine and 30-Day Ban ALEXA MARTINDecember 26, 2023 December 26, 2023 Kenneth John Arellano of Victor, New York, was subject to disciplinary measures in an enforcement action dated October 17, 2023, by... 09100
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... 09800
Blacklisted Forex Brokers Nicholas Michael Caruso Faces Three-Month Ban in Regulatory Crackdown by FINRA ALEXA MARTINDecember 26, 2023 December 26, 2023 On October 12, 2023, Nicholas Michael Caruso of Howell, New Jersey, was dealt a serious blow when he received an Administrative Well... 08800
Blacklisted Forex Brokers Career Catastrophe: Frank L. Martin Hit with 3-Month Ban by FINRA ALEXA MARTINDecember 23, 2023 December 23, 2023 An Administrative Wells Notice (AWC) was issued on October 11, 2023, signaling a turning point in Frank L. Martin‘s career. A... 07900