Showing 1–50 of 149 cases
Case NameOutcomePenaltyDate Filed
FINRA v. A.G.P. / Alliance Global Partners, LLCSettled$145K— · FINRA
FINRA v. A.G.P. / Alliance Global Partners, LLCSettled$145K—
In the Matter of Nafissa DialloPending—— · FINRA
In the Matter of Nafissa DialloPending——
FINRA v. Vincent Jerome CamardaPending—— · FINRA
FINRA v. Vincent Jerome CamardaPending——
In the Matter of Federico CardonaPending—— · FINRA
In the Matter of Federico CardonaPending——
In the Matter of Elmer Richard FergusonUnknown—— · FINRA
In the Matter of Elmer Richard FergusonUnknown——
FINRA v. Independence Capital Co., Inc.Settled—— · FINRA
FINRA v. Independence Capital Co., Inc.Settled——
In the Matter of BNY Mellon Capital Markets, LLCSettled$60K— · FINRA
In the Matter of BNY Mellon Capital Markets, LLCSettled$60K—
In the Matter of Wells Fargo Clearing Services, LLCSettled$1.3M— · FINRA
In the Matter of Wells Fargo Clearing Services, LLCSettled$1.3M—
In the Matter of BNP Paribas Securities Corp.Settled$125K— · FINRA
In the Matter of BNP Paribas Securities Corp.Settled$125K—
FINRA v. ABN AMRO Capital Markets (USA) LLCSettled$50K— · FINRA
FINRA v. ABN AMRO Capital Markets (USA) LLCSettled$50K—
In the Matter of Cetera Advisors LLCUnknown—— · FINRA
In the Matter of Cetera Advisors LLCUnknown——
In the Matter of Networks LLCSettled$1.1M— · FINRA
In the Matter of Networks LLCSettled$1.1M—
In the Matter of Michael Joseph WhitakerUnknown—— · FINRA
In the Matter of Michael Joseph WhitakerUnknown——
In the Matter of Virtu Americas LLCSettled$200K— · FINRA
In the Matter of Virtu Americas LLCSettled$200K—
In the Matter of Stirlingshire InvestmentsSettled$40K— · FINRA
In the Matter of Stirlingshire InvestmentsSettled$40K—
In the Matter of TPEG Securities, LLCSettled$175K— · FINRA
In the Matter of TPEG Securities, LLCSettled$175K—
In the Matter of The GMS Group, LLCSettled$35K— · FINRA
In the Matter of The GMS Group, LLCSettled$35K—
FINRA v. Aegis Capital Corp.Settled$375K— · FINRA
FINRA v. Aegis Capital Corp.Settled$375K—
FINRA v. Benjamin F. Edwards & Company, Inc.Settled$750K— · FINRA
FINRA v. Benjamin F. Edwards & Company, Inc.Settled$750K—
In the Matter of Joshua Aaron DeanPending—— · FINRA
In the Matter of Joshua Aaron DeanPending——
In the Matter of Jeffrey Kenneth Galvani and Stuart A. JefferyUnknown—— · FINRA
In the Matter of Jeffrey Kenneth Galvani and Stuart A. JefferyUnknown——
In the Matter of Nana Kwame Kwakye-BissahUnknown—— · FINRA
In the Matter of Nana Kwame Kwakye-BissahUnknown——
In the Matter of Jay Deron ZornesSettled—— · FINRA
In the Matter of Jay Deron ZornesSettled——
In the Matter of James Thaddeus WalesaSettled—— · FINRA
In the Matter of James Thaddeus WalesaSettled——
In the Matter of Patrick Michael RoraffUnknown—— · FINRA
In the Matter of Patrick Michael RoraffUnknown——
In the Matter of Hugo HernandezSettled—— · FINRA
In the Matter of Hugo HernandezSettled——
In the Matter of Lyhen FialloSettled—— · FINRA
In the Matter of Lyhen FialloSettled——
In the Matter of William Joseph KielczewskiPending$50K— · FINRA
In the Matter of William Joseph KielczewskiPending$50K—
In the Matter of Andrew Stephen MogolSettled$5K— · FINRA
In the Matter of Andrew Stephen MogolSettled$5K—
In the Matter of Eduardo Leon Jr.Settled$5K— · FINRA
In the Matter of Eduardo Leon Jr.Settled$5K—
FINRA v. Phillip Curtis AndersonPending—— · FINRA
FINRA v. Phillip Curtis AndersonPending——
FINRA v. Philip Leo GazzoUnknown—— · FINRA
FINRA v. Philip Leo GazzoUnknown——
FINRA v. Jonathon Mark WebsterSettled—— · FINRA
FINRA v. Jonathon Mark WebsterSettled——
In the Matter of Robert Wylie GoffSettled$5K— · FINRA
In the Matter of Robert Wylie GoffSettled$5K—
In the Matter of Mark Elliot PavermanSettled$20K— · FINRA
In the Matter of Mark Elliot PavermanSettled$20K—
In the Matter of Christian GonzalezSettled$5K— · FINRA
In the Matter of Christian GonzalezSettled$5K—
FINRA v. Luke LannisterPending—— · FINRA
FINRA v. Luke LannisterPending——
In the Matter of DugginsPending—— · FINRA
In the Matter of DugginsPending——
In the Matter of Dealer Solutions North America LLCPending—— · FINRA
In the Matter of Dealer Solutions North America LLCPending——
In the Matter of Edwin BarkhordarianUnknown—— · FINRA
In the Matter of Edwin BarkhordarianUnknown——
In the Matter of Matthew Vernon BroshPending—— · FINRA
In the Matter of Matthew Vernon BroshPending——
In the Matter of Michael Robert GreenfieldUnknown—— · FINRA
In the Matter of Michael Robert GreenfieldUnknown——
In the Matter of Joseph Gordon NelsonUnknown—— · FINRA
In the Matter of Joseph Gordon NelsonUnknown——
In the Matter of Andy O. OkalaPending—— · FINRA
In the Matter of Andy O. OkalaPending——
In the Matter of Steven A. PusterlaUnknown—— · FINRA
In the Matter of Steven A. PusterlaUnknown——
In the Matter of Intesa Sanpaolo IMI Securities Corp.Settled$125K— · FINRA
In the Matter of Intesa Sanpaolo IMI Securities Corp.Settled$125K—
FINRA v. Barclays Capital Inc.Settled$325K— · FINRA
FINRA v. Barclays Capital Inc.Settled$325K—
FINRA v. Navaid Financial Services, Inc.Settled$35K— · FINRA
FINRA v. Navaid Financial Services, Inc.Settled$35K—
In the Matter of J. Alden Associates, Inc.Settled$40K— · FINRA
In the Matter of J. Alden Associates, Inc.Settled$40K—
In the Matter of Moomoo Financial Inc.Settled$125K— · FINRA
In the Matter of Moomoo Financial Inc.Settled$125K—