BRAD BROOKS Suspended by FINRA The Financial Industry Regulatory Authority (“FINRA”) announced that it issued Titan Securities’ sole owner, CEO and president, Brad Brooks (CRD#:1584633, Addison, Texas) a suspension and $50,000 fine. Apparently, in an Extended Hearing Panel Decision, FINRA found that Brooks violated FINRA and NASD Rules because Brooks failed to establish and enforce […]

Deutsche Bank Securities Terminates Brokers Jonathan Sdao, Joseph Reardon Deutsche Bank Securities Inc. (CRD#: 2525) is a brokerage firm which the Financial Industry Regulatory Authority (“FINRA”) regulates. Also, the firm has an investment advisory which the Securities and Exchange Commission (“SEC”) regulates. Notably, Deutsche Bank Securities has a whopping two hundred eighty disclosures on FINRA […]