Between March 2021 and March 2023, Ladhani held a beneficial interest in two brokerage accounts maintained at another member firm without obtaining prior written consent from Goldman Sachs. As a result, Ladhani violated FINRA Rules 3210 and 2010. For these violations, Ladhani is suspended for two months in all capacities and fined $5,000...

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...