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FINRA Fines Odeon Capital Group for Failing to Adequately Supervise for Prearranged Trading

Odeon Capital Group LLC has agreed to pay a fine of $75,000 as a part of a settlement with FINRA.See the Story

2025 Cyber Crimes Conference (C3) Agenda

2025 Cyber Crimes Conference (C3) Agenda K33357 Tue, 08/12/2025 - 15:57 FINRA’s Cyber Crimes Conference (C3) is a one-day event on Tuesday, October 28, 2025, that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks. Whether you work in information security, information technology, cybercrime, compliance or are a business owner, you wil…San Francisco, California · San Francisco Read Article

Retrieve and Schedule Payment for the Final Statement in E-Bill

Retrieve and Schedule Payment for the Final Statement in E-Bill K33357 Tue, 08/12/2025 - 15:41 Final Statements are available in E-Bill on Jan. 2.Preliminary Statement reports are replaced with Final Statement reports in CRD/IARD.Many firms find it convenient to schedule any required payment while logged in to E-Bill to retrieve the statement. If additional payment is not required, the Final Statement will reflect "Paid in Full." Any overpayment…New York State · New York Read Article

Submit Filings and Payments Before 6 p.m. ET

Submit Filings and Payments Before 6 p.m. ET K33357 Tue, 08/12/2025 - 15:29 The CRD/IARD system shuts down for the year at 6 p.m. on Dec. 26. Firms should ensure that they perform the following activities before the shutdown occurs:Submit registration filings. This includes terminating any registrations that firms do not want to renew for 2026.Finalize any E-Bill renewal payments or transactions. Firms that missed the payment deadline must ensur…United States · United States Read Article

2018056490331 Mack Leon Miller CRD 2822317 AWC vr.pdf

Between October 2019 and April 2022, Miller recommended to two retail customers a series of trades that were excessive, unsuitable, and not in the customers' best interests. As a result, Miller willfully violated the Best Interest Obligation under Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 (Regulation BI or Reg BI) and violated FINRA Rules 2111 and 2010. For these violations, Miller is suspended for nine months in all capacities...United States · United States Read Article

What is Momentum Investing?

What is Momentum Investing? K33357 Mon, 08/11/2025 - 15:04 In physics, momentum refers to the tendency of an object to continue moving in a particular direction due to its mass and velocity. The velocity, or direction, of momentum can change due to an external force and is governed by laws like Newton’s laws of motion. Momentum investing is a trading strategy that involves trading stocks that are moving rapidly higher—or lower—and then exiting p…Read Article

2023079054101 Brenton Ditto CRD 4779103 AWC gg.pdf

In September 2021, Ditto recommended that a 95-year-old customer invest in Government National Mortgage Association (GNMA) support class bonds, a complex product for which Ditto did not have a reasonable basis to believe was in the customer's best interest based on his investment profile. Therefore, Ditto willfully violated Rule 15!-1(a)( 1) under the Securities Exchange Act of 1934 (Reg BI) and also violated FINRA Rule 2010. For these violation…United States · United States Read Article

2023080442901 James Thaddeus Walesa CRD 1061209 Complaint gg.pdf

The Department of Enforcement alleges: SUMMARY 1. Respondent James Thaddeus Walesa failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-therecord testimony, made pursuant to FINRA Rule 8210 as part of FINRA Staff’s examination into Walesa’s business practices, his voluntary termination from Arkadios Capital, and allegations made against Walesa in [Customer B & Customer Fami…United States · United States Read Article

2024083025801 Simon Michel Joseph CRD 5602157 AWC gg.pdf

Between December 2019 and July 2024, Joseph willfully failed to disclose a consent order issued by the Maryland Securities Commissioner of the Maryland Securities Division on several Uniform Applications for Securities Industry Registration or Transfer (Forms U4) filed with FINRA. As a result, he violated Article V, Section 2(c) of FINRA’s By-Laws and he violated FINRA Rules 1122 and 2010. For these violations, Joseph is fined $5,000 and suspend…Maryland · Maryland Read Article

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