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... 018200
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... 013800
Blacklisted Forex Brokers FINRA hits Electronic Transaction Clearing Inc. with a $100k Fine Brooklyn lightDecember 22, 2023 December 22, 2023 Overview of Electronic Transaction Clearing Inc. Electronic Transaction Clearing Inc. (ETC) is a brokerage firm based in Los Angeles... 09400
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... 05700
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 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... 06700
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
Blacklisted Forex Brokers James P. Pelletiere faces industry ban due to violations of FINRA Rules Brooklyn lightDecember 22, 2023 December 22, 2023 Brief about James P. Pelletiere In 1998, James P. Pelletiere registered as an investment company and variable contract products repr... 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... 010000
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... 012200