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
Blacklisted Forex Brokers Nicholas Michael Caruso Faces Three-Month Ban in Regulatory Crackdown by FINRA ALEXA MARTINDecember 26, 2023 December 26, 2023 On October 12, 2023, Nicholas Michael Caruso of Howell, New Jersey, was dealt a serious blow when he received an Administrative Well... 08800
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 Open to the Public Investing Faces Sanctions: FINRA Imposes $2.6M Penalty for Securities Lending Violations Eliza CarterDecember 20, 2023 December 26, 2023 Open to the Public Investing Faces Sanctions along with three other broker-dealer firms, has been fined a total of $2.6 million by F... 08600
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... 08000
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 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... 012200
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 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... 07900
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),... 09300