RBC Capital Markets, LLC (CRD #31194, New York, New York) was censured and fined $275,000 after an AWC found the firm failed to develop and implement an anti-money laundering compliance program reasonably designed to detect and cause the reporting of suspicious transactions, according to FINRA's September 2026 disciplinary report.

FINRA barred Taspia Rahman (CRD #7757705), a Brooklyn, New York broker, from association with any FINRA member in all capacities. The bar is recorded in an AWC dated July 24, 2026, and it covers every capacity in which Rahman could otherwise register with FINRA. FINRA's report lists Brooklyn, New York as Rahman's location and CRD #7757705 as her registration number.

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.

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.

In a March, 2012, article for Forbes, Bill Singer writes that for the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing and without an adjudication of any issue, AXA Advisors, LLC submitted a Letter of Acceptance, […]