In June 2025, Salim refused to appear for on-the-record testimony requested by FINRA pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010.

Between March 2022 and July 2023, Baine signed or caused a third party to sign the signatures of eight non-securities customers on twenty insurance-related documents without the customers' permission. In so doing, Baine violated FINRA Rule 2010. For this conduct, Baine is suspended for three months and fined $5,000...

In May 2025, Reap failed to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...

Putnam refused to provide information and documents requested by FINRA pursuant to FINRA Rule 8210. As a result, Putnam violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.