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
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
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
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 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... 08700
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 Career Catastrophe: Frank L. Martin Hit with 3-Month Ban by FINRA ALEXA MARTINDecember 23, 2023 December 23, 2023 An Administrative Wells Notice (AWC) was issued on October 11, 2023, signaling a turning point in Frank L. Martin‘s career. A... 07900
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... 07800
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... 07300