FINRA SEC Sanctions
Akinfolarin Sessi, Edward Jones, Barred by FINRA
Akinfolarin Sessi Barred after Allegations of Outside Business Activities According to public records, on November 18, 2024, The Financial...
Ahmad “Ed” Maklouf, Spartan Capital, Complaints
FINRA Bars Ahmad “Ed” Maklouf after Allegations of Misrepresentation and Selling Away According to public records, on November 19,...
Maria De Los Angeles Leon Allegedly Misappropriated Funds
FINRA Bars Former PNC Advisor Maria De Los Angeles Leon for Allegedly Misappropriating Funds According to public records, The Financial...
Sean Michael Kane Allegedly Deceived Clients
SEC Bars Sean Michael Kane after Allegations of Misconduct The SEC has reportedly barred Sean Michael Kane, a financial advisor from...
Invesco to Pay $17.5 M for Misleading Clients
SEC Charges Invesco with Misleading Claims Regarding ESG The U.S. Securities and Exchange Commission (SEC) recently charged Invesco...
Sherwin Sargeant barred by Securities Regulators
FINRA Bars Broker Sherwin Sergeant after Allegations of Misconduct According to public records on November 5th, 2024, The Financial...
