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... 07800
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... 010300
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
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... 06600
Blacklisted Forex Brokers Disciplinary Debacle: Hits James R. Dickie in FINRA AWC ALEXA MARTINDecember 23, 2023 December 23, 2023 James R. Dickie, a resident of Rancho Cordova, California, was the target of a regulatory action on October 10, 2023, when the Finan... 06700
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... 05600
Review News FINRA Bars Todd Michael Lesk: Broker Faces Permanently Banned Status Brooklyn lightDecember 23, 2023 December 23, 2023 Brief about Todd Michael Lesk Todd Michael Lesk has had relationships with FINRA-affiliated organizations since 1997. As a General S... 010200
Blacklisted Forex Brokers Arni Jay Diamond Faces Disciplinary Action: Shocking Revelation by FINRA ALEXA MARTINDecember 23, 2023 December 23, 2023 An Administrative Waiver and Consent (AWC) was granted in the case of Augustine, Florida resident Arni Jay Diamond on October 9, 202... 08600
Review News Robert Logan Jones faces strict sanctions from FINRA for rule violations Brooklyn lightDecember 22, 2023 December 22, 2023 Overview of Robert Logan Jones Robert Logan Jones initially joined FINRA in 1996. He held the position of General Securities Represe... 07700
Blacklisted Forex Brokers Scott Michael Bremus: Suspensions and Fines Imposed by FINRA ALEXA MARTINDecember 22, 2023 December 22, 2023 According to the terms of an Acceptance, Waiver, and Consent (AWC) published by the Financial Industry Regulatory Authority (FINRA),... 09200