| FINRA.org

2022074734102 Eduardo Leon CRD 2232647 AWC gg (2025-1749342003606).pdf

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.

2024082275401 Natalie T. Pham CRD 7581512 AWC gg (2025-1749342003608).pdf

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.

Investor Education Resources

2023079339301 Nicholas Stovall CRD 5581487 AWC lp (2025-1749342003590).pdf

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.

22-01490(4).pdf

Order to Confirm

22-01490(3).pdf

Motion to Vacate

24-02114.pdf

Stavis Wealth Transfer Solutions Comment On Regulatory Notice 25-05

Dear Ms. Mitchell,

I am the owner of a Registered Investment Advisory firm in Houston, Texas, with five employees and a registered representative of an unaffiliated FINRA member firm.

My position is that rule 3290 in regulatory notice 25–05 would duplicate oversight, and the inefficiency is likely to create unnecessary complexity for RAA’s, unaffiliated Broker Dealers, and most importantly, valued clients.

2021072231801 Webull Financial LLC CRD 289063 AWC vr (2025-1749342003744).pdf

From January 2019 to December 2022, Webull Financial failed to reasonably supervise and retain social media communications that promoted the firm posted by individuals with followings on social media (commonly known as "influencers''). Some of those communications included statements that were not fair and balanced or were promissory or exaggerated.

Subscribe to