In June 2025, Keigley refused to produce documents requested pursuant to FINRA Rule 8210. As a result, she violated FINRA Rules 8210 and 2010 and is barred from associating with a FINRA member firm in any capacity.

Samaroo failed to provide information and documents requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010and is barred from becoming associated with a FINRA member in any capacity...