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... 00.9K4310
Blacklisted Forex Brokers Arun Kumar Aggarwal Banned: FINRA’s Forceful Action Sends Shockwaves ALEXA MARTINDecember 23, 2023 December 23, 2023 Arun Kumar Aggarwal of Raleigh, North Carolina, was the target of regulatory action on October 11, 2023, when the Financial Industry... 023100
Blacklisted Forex Brokers Dima Munzer Abdulnour Faces Career Crisis After FINRA Imposes Disciplinary Measures ALEXA MARTINDecember 21, 2023 December 21, 2023 Dima Munzer Abdulnour works for MWA Financial Services Inc. as a financial professional. She is based in Rock Island, Illinois. Havi... 018300
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 FINRA Fines Four Firms $2.6M for Securities Lending Violations Eliza CarterDecember 20, 2023 December 21, 2023 FINRA Fines Four Firms —M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc. The total penal... 013700
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
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
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
Blacklisted Forex Brokers SoFi Securities Faces FINRA Fines: $2.6M for Securities Lending Violations Eliza CarterDecember 21, 2023 December 21, 2023 SoFi Securities Faces FINRA Fines, along with three other broker-dealer firms, has recently incurred penalties totaling $2.6 million... 012000
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