In October 2024, Casado refused to produce information and documents as requested pursuant to FINRA Rule 8210. Therefore, Casado violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

On January 28, 2025, McLendon refused 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.

FINRA's Trade Reporting and Compliance Engine (TRACE) facilitates the mandatory reporting of certain securities transactions and provides increased price transparency to market participants and investors. From February 2022 through February 2023, Stonecrest failed to re-report 96 TRACE-eligible transactions after they were rejected by TRACE. The firm also inaccurately reported an additional 35 transactions to TRACE.