On November 2, 2021, while associated with Ameriprise, Parker instructed a trader to effect 310 unauthorized transactions in the non-discretionary accounts of 277 customers by tendering the customers’ shares in Company A, a non-traded real estate investment trust, to participate in the company’s modified “Dutch Auction” self-tender offer. Parker did not receive any commissions for these transactions. By this conduct, Parker violated FINRA Rule 2010 and is suspended for 30 days and fined $2,500...

O’Shea refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, O’Shea violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...

Between April 2019 and August 2022, Alliance Global violated FINRA Rules 5190 and 2010 in 55 instances by not filing, or filing untimely or inaccurate, notifications with FINRA in connection with its participation in 47 distributions of securities subject to Regulation M under the Securities Exchange Act of 1934. From at least February 2019 through August 2024, Alliance Global failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 5190.

From September 2021 through March 2023, Standard Chartered violated FINRA Rules 6730(a) and 2010 by failing to timely report to the Trade Reporting and Compliance Engine (TRACE) approximately 700 transactions in TRACE-eligible corporate debt securities. In addition, from at least September 2021 through December 2024, the firm violated FINRA Rules 3110 and 2010 by failing to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with TRACE reporting requirements.

Between March 2022 and April 2023, Young improperly shared photos of confidential data taken on his personal cell phone with individuals not affiliated with the firm. The photos contained customers’ nonpublic personal information, including client names, account balances, account numbers, dates of birth, employers, and other background information. Young shared the photos of customers' nonpublic personal information without the knowledge or consent of the customers or the firm and in contravention of the firm's policies and procedures.

From August 2020 through September 2020, while associated with a FINRA member, Taddeo participated in private securities transactions with three customers who invested a total of $255,000, without providing prior written notice to his firm. As a result, Taddeo violated FINRA Rules 3280 and 2010. Between November 2021 and March 2022, Taddeo settled the complaints of two customers who invested in the private securities transactions, without the knowledge or consent of his member firm. As a result, Taddeo violated FlNRA Rule 2010.

From June 30, 2020, to August 21, 2025, VSI failed to disclose its own disciplinary history in the firm’s customer relationship summary (Form CRS). By filing and delivering to customers a Form CRS that omitted required information, VSI willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010, and is fined $20,000.

From May 2022 through May 2024, Penserra sent approximately 41,000 inaccurate trade confirmations to its customers, which either (1) contained an average price disclosure when the trade was a single execution at a single price; or (2) failed to disclose that the price identified was, in fact, an average price. As a result, Penserra violated Rule 1Ob-10 of the Securities Exchange Act of 1934, and FINRA Rules 2232 and 2010.