Blacklisted Forex Brokers Disciplinary Debacle: Hits James R. Dickie in FINRA AWC ALEXA MARTINDecember 23, 2023 December 23, 2023 James R. Dickie, a resident of Rancho Cordova, California, was the target of a regulatory action on October 10, 2023, when the Finan... 06900
Review News FINRA strikes James Michael Green for Unauthorized Client Order Execution Brooklyn lightDecember 23, 2023 December 23, 2023 Background of James Michael Green Green initially joined FINRA in July 2005 in connection with Edward D. Jones & Co., L.P. (CRD... 06700
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
Review News FINRA Imposes Sanctions on Jorge Hernandez Over Rule Violations Brooklyn lightDecember 23, 2023 December 23, 2023 Background of Jorge Hernandez Hernandez worked in the securities industry beginning in April 2007. He joined Gradient Securities in... 05700