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Top finra.org News

US blocks money transfers by 3 Mexico-based financial institutions accused of aiding cartels

Mexico Economy · United States

US blocks money transfers by 3 Mexico-based financial institutions accused of aiding cartels

48% Center coverage: 120 sources

The U.S. Treasury Department slapped sanctions Wednesday on three Mexico-based financial institutions it said were used to launder millions of dollars for cartels, in a move officials say would block certain money transfers between the sanctioned banks and U.S. banks.See the Story

2023078547601 Shaheen Ladhani CRD 5920347 AWC vr.pdf

2023078547601 Shaheen Ladhani CRD 5920347 AWC vr.pdf

2023078547601 Shaheen Ladhani CRD 5920347 AWC vr.pdf Anonymous (not verified) Wed, 07/02/2025 - 15:10 Case ID 2023078547601 Document Number 449f60d3 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Shaheen Ladhani Action Date Mon, 06/30/2025 - 12:00 Related Content Off Attachment 2023078547601 Shaheen Ladhani CRD 5920347 AWC vr.pdf Individual CRD 5920347 Read Article

2024083984501 Mohammed A. Salim CRD 7126671 AWC lp.pdf

2024083984501 Mohammed A. Salim CRD 7126671 AWC lp.pdf

2024083984501 Mohammed A. Salim CRD 7126671 AWC lp.pdf Anonymous (not verified) Tue, 07/01/2025 - 17:35 Case ID 2024083984501 Document Number 0a2d2efa Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Mohammed A. Salim Action Date Tue, 07/01/2025 - 12:00 Related Content Off Attachment 2024083984501 Mohammed A. Salim CRD 7126671 AWC lp.pdf Individual CRD 7126671 Read Article

2023080198401 Brian Richard Baine CRD 1355980 AWC vr.pdf

2023080198401 Brian Richard Baine CRD 1355980 AWC vr.pdf Anonymous (not verified) Tue, 07/01/2025 - 14:55 Case ID 2023080198401 Document Number 4f03934a Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Brian Richard Baine Action Date Tue, 07/01/2025 - 12:00 Related Content Off Attachment 2023080198401 Brian Richard Baine CRD 1355980 AWC vr.pdf Individual CRD 1355980 Read Article

2024084510401 Kim R. Kunz CRD 718618 AWC vr.pdf

Between September and December 2024, Kunz violated FINRA Rule 2010 by associating with WestPark while subject to a three-month, all capacities suspension from associating with any member firm pursuant to an AWC with FINRA. He also violated Article III, Section 3(b) off FINRA's By-Laws and FINRA Rule 2010 by associating with WestPark while subject to statutory disqualification, resulting from his FINRA suspension and his willful violation of Regu…United States · United States Read Article

2023080478101 Paul X. Nannicelli CRD 1089038 AWC gg.pdf

Between September 2020 and August 2023, Nannicelli circumvented his firm's procedures prohibiting registered representatives or their immediate family members from being named as a beneficiary on a customer's account without the firm's approval. Specifically, Nannicelli assisted a customer with designating Nannicelli's wife and children as beneficiaries on her accounts without approval from the finn. Nannicelli therefore violated FINRA Rule 2010…United States · United States Read Article

2022074296701 Donald J. Everhart CRD 2150508 AWC gg.pdf

In October 2020, Everhart recommended that a retail customer invest in GWG L Bonds, which were speculative, unrated corporate bonds. Everhart's recommendation resulted in at least 40% of the customer's net worth, not including primary residence, being invested in GWG L Bonds. This recommendation was not in the customer's best interest based on her investment profile, and Everhart therefore willfully violated Rule 15/-l(a)(l) under the Securities…United States · United States Read Article

2024083981001 Thomas Sapio CRD 1848346 AWC lp.pdf

From April 2022 through August 2022, Sapio failed to reasonably supervise two traders who were inaccurately marking the value of positions on their trading books to conceal from Cantor millions of dollars in unrealized losses. For his violations of FINRA Rules 3110 and 2010, Sapio is suspended in all principal capacities for two months, fined $5,000, and required to complete ten hours of continuing education concerning supervisory responsibiliti…United States · United States Read Article

Updated SLATE Participant Specifications

Technical NoticeUpdated SLATE Participant SpecificationsJune 27, 2025 DixonR Fri, 06/27/2025 - 15:54 FINRA has updated the SLATE Participant Specifications. Please email FINRA Client and System Management with questions regarding this notice.Rockville, Maryland · Rockville Read Article

2022075862201 Michael Edwin Magruder CRD 4579211 AWC vr.pdf

2022075862201 Michael Edwin Magruder CRD 4579211 AWC vr.pdf Anonymous (not verified) Fri, 06/27/2025 - 14:35 Case ID 2022075862201 Document Number 43125f69 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Michael Edwin Magruder Action Date Fri, 06/27/2025 - 12:00 Related Content Off Attachment 2022075862201 Michael Edwin Magruder CRD 4579211 AWC vr.pdf Individual CRD 4579211 Read Article

FINRA Board of Governors Holds June Meeting

FINRA Board of Governors Holds June Meeting K34060 Fri, 06/27/2025 - 08:21 June 18, 2025FeaturesFINRA Board of Governors Holds June Meeting The FINRA Board of Governors met in Washington and approved the following rule proposals: Amendments to FINRA Rule 4311 (Carrying Agreements) – Rule 4311 governs requirements when member firms enter into agreements for the carrying of customer accounts. Among other changes, the amendments would provide great…Washington State · Washington Read Article

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