Blacklisted Forex Brokers Odeon Capital Group faces $100,000 fine by FINRA for Reporting Violations Brooklyn lightDecember 22, 2023 December 22, 2023 Overview of Odeon Capital Group LLC Odeon Capital Group LLC, a so-called “leading” full-service boutique broker/dealer f... 011400
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 Robert L. Jones Amid Controversy: FINRA Suspends Financial Professional ALEXA MARTINDecember 22, 2023 December 23, 2023 Robert L. Jones began working in finance in 1996 and was formerly registered as a financial professional. The Financial Industry Reg... 010800
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... 010300
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 BGC Financial L.P Penalized by FINRA Over Alleged Spoofing Brooklyn lightDecember 22, 2023 December 22, 2023 Overview of BGC Financial L.P BGC Financial L.P. is a brokerage firm that claims to offer a wide range of investment products and se... 010200
Blacklisted Forex Brokers M1 Finance Faces FINRA Penalty $2.6M for Securities Lending Violations Eliza CarterDecember 20, 2023 December 20, 2023 M1 Finance Faces FINRA Penalty along with three other brokerage firms, named as Open to the Public Investing, Inc., SoFi Securities... 010100
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
Blacklisted Forex Brokers Ravid Gold Barred from FINRA Member Association: Regulatory Crackdown ALEXA MARTINDecember 22, 2023 December 22, 2023 Financial professional Ravid Gold, of Houston, Texas, was subject to disciplinary action on October 3, 2023, as stated in an Accepta... 09700
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