In November 2020 and February 2021, Leon recommended that three retail customers and six non-retail customers purchase and hold a volatility-linked exchange-traded note without having a sufficient understanding of its risks and features.

Between February and March 2024, Pham made misrepresentations to a mortgage lender to help her friend qualify for and obtain a mortgage loan. As a result, Pham violated FINRA Rule 2010 and is suspended for 12 months in all capacities and fined $10,000.

Between March 2018 and August 2021, while associated with Gradient, Stovall participated in 11 private securities transactions totaling $1,401,690. Stovall did not provide any notice to Gradient prior to engaging in these transactions. As a result, Stovall violated FINRA Rules 3280 and 2010 and is barred from associating with any FINRA member in all capacities.