Blacklisted Forex Brokers Vivek Tangudu Banned by FINRA for Lack of Cooperation Brooklyn lightDecember 22, 2023 December 22, 2023 Background On August 19, 2021, Tangudu worked at Merrill Lynch without being registered. Merrill submitted an amended Form NRF on Ma... 07200
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... 09000
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... 09300
Blacklisted Forex Brokers Elizabeth Ashley Nichols Accepts FINRA’s Consent: Negative Outcomes Loom ALEXA MARTINDecember 22, 2023 December 23, 2023 On October 5, 2023, Elizabeth Ashley Nichols of San Diego, California, was subject to disciplinary action after the Financial Indust... 06200
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... 011300
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 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... 010100
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
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
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