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Broker records
2,290 records on file, newest first
2024-03-04 /CRD 7089559 /TX
Reuben Lamont Brown Barred by FINRA for Refusing Testimony in Selling Away Investigation
Refusal to appear for on-the-record testimony; Form U5 disclosed termination for selling away in violation of FINRA Rule 3280 (private securities transactions)
2024-03-04 /CRD 2850269 /NJ
Douglas J. Bauerband Suspended by FINRA for Undisclosed Outside Business Activity
Outside business activity without disclosure; false compliance attestation
2024-03-04 /CRD 1126810 /OH
Lawrence Richard Brockman Suspended by FINRA for Borrowing from Customer and Concealment
Borrowing from customer without firm approval; concealment of loan; false compliance attestation; failure to repay
2024-03-04 /CRD 4277525 /UT
Joshua R. Cook Suspended by FINRA for Signing Customer Names on Account Documents
Electronically signing customer names without permission; inaccurate books and records; false compliance attestation
2024-03-04 /CRD 2838265 /NY
Stephen Frank Grande Suspended by FINRA for Falsifying Continuing Education Completion
False certification of continuing education completion
2024-03-01 /CRD 311448 /TX
FINRA Disciplinary Action: CVEX Markets LLC Membership Cancelled for Failure to Pay Dues
Failure to pay FINRA dues, fees, and other charges (Rule 9553)
2024-03-01 /CRD 2165740 /TX
FINRA Disciplinary Action: David Jerome Ferneding Suspended for Failure to Comply with Arbitration Award
Failure to comply with arbitration award (Rule 9554)
2024-03-01 /CRD 6350639 /NC
FINRA Disciplinary Action: Jeffrey Richard Nemesi Suspension Lifted After Arbitration Compliance
Failure to comply with arbitration award (Rule 9554); suspension lifted after compliance
2024-02-29 /CRD 306029 /NY
Arcview Capital Fined $25,000 for Net Capital Violations
Conducted securities business while failing to maintain minimum net capital of $5,000 on 43 days; failed to file timely notifications of net capital deficiencies
2024-02-29 /CRD 468553 /AZ
William David Williford Barred for Refusing to Testify About COVID Loan Application
Refused to appear for testimony regarding judgment concerns related to COVID-19 loan application
2024-02-28 /CRD 4047060 /CA
Megurditch Mike Patatian Barred and Ordered to Pay $458,418 for Unsuitable Investment Recommendations
Made unsuitable REIT and variable annuity recommendations; impersonated customer; falsified books and records
2024-02-27 /CRD 5725399 /IL
Lucas R. Mroz Suspended 45 Days for Unauthorized Transactions Based on Instructions from Non-Authorized Individual
Made unauthorized fund transfers totaling $300,000 based on instructions from customer's father who lacked authority; falsified verbal authorization forms