FINRA barred Elias Gerodemos (CRD #7510054), a Crown Point, Indiana broker, from association with any FINRA member in all capacities. The bar is recorded in an AWC dated July 30, 2026, and it covers every capacity in which Gerodemos could otherwise register with FINRA. FINRA's report lists Crown Point, Indiana as Gerodemos' location and CRD #7510054 as his registration number.

Brian Nelson (CRD #5065593) settled a customer dispute naming Emerson Equity for $136,944, according to his BrokerCheck report. The claim, filed June 9, 2025 under docket number 25-01170, alleged violation of federal securities laws, violations of the California Securities laws, California unfair, unlawful, and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence. BrokerCheck shows it settled on September 23, 2026.

Brown Associates, Inc [CRD: 5049, Chattanooga, Tennessee] was sanctioned in a FINRA Letter of Acceptance, Waiver and Consent issued on July 20, 2026, over due diligence on private placement offerings. The AWC appears in FINRA's Disciplinary and Other FINRA Actions report for September 2026.

Centaurus Financial, Inc [CRD: 30833, Anaheim, California] entered into a Letter of Acceptance, Waiver and Consent with FINRA addressing supervisory failures tied to variable annuity exchange recommendations, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026.

TastyTrade, Inc, CRD number 277027, Chicago, Illinois, was censured and fined $850,000 by FINRA, according to an AWC dated July 21, 2026. The firm consented to the sanctions and to the entry of findings without admitting or denying them. FINRA Case #2017056224801 covers the matter.

Kim Thien Tran (CRD #5575725, Sugar Land, Texas) was suspended from association with any FINRA member in all capacities for nine months, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. An AWC issued on July 2, 2026 found that Tran falsified documents and information relating to a customer's life insurance policy and commingled customer funds with her own. Tran consented to the sanctions and to the entry of findings without admitting or denying them, according to the AWC.

Virtu Americas, LLC [CRD: 149823, New York, New York] was sanctioned in a FINRA Letter of Acceptance, Waiver and Consent issued on July 20, 2026, over its limit order display obligations. The AWC appears in FINRA's Disciplinary and Other FINRA Actions report for September 2026.

Richard Depalma is a registered representative with CRD number 4517536, according to BrokerCheck. BrokerCheck shows four settled customer disputes tied to Depalma's association with Centaurus Financial. The disclosures span from April 2023 to July 2025 and involve allegations of unsuitable, high-risk, or illiquid investment recommendations.

Daniel Lerner, named on BrokerCheck as Daniel Todd Lerner (CRD 1255769), settled a customer dispute on September 10, 2026 for $145,762, BrokerCheck shows. The customer alleged unsuitability, misrepresentation, and omission in a claim naming David Lerner Associates.