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... 012100
Review News Stewart Ginn Accused of Exploiting Clients in FINRA Complaint Brooklyn lightDecember 26, 2023 December 26, 2023 Stewart Ginn, a broker affiliated with Independent Financial Group (IFG), is facing allegations from FINRA of engaging in churning a... 013400
Review News Traderfield Securities and Mario Divita Face FINRA Penalties Brooklyn lightSeptember 21, 2017 December 26, 2023 In August 1987, Traderfield Securities became a FINRA member. It is based in Flushing, New York, with a single branch office employi... 00.9K4310
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