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Broker records
2,290 records on file, newest first
2024-02-26 /CRD https /2024-02-26
Damian Mark Baird Barred for Refusing to Cooperate with Multiple FINRA Investigations
Failed to respond to FINRA requests in two investigations; one involving arbitration discovery failures and another involving allegations of altered customer check
2024-02-26 /CRD 6702377 /WI
Matthew Alexander Sinclair Barred for Document Falsification and Refusing to Cooperate
Intentionally altered and submitted documentation to obtain hardship withdrawals; refused to provide information to FINRA
2024-02-26 /CRD 5843466 /NY
Ashley Marie Curreri Suspended for Falsely Certifying Completion of Continuing Education
Falsely certified completion of continuing education for insurance license renewal
2024-02-26 /CRD 2283701 /NY
Maureen Joann D’Amico Suspended for Falsely Certifying Completion of Continuing Education
Falsely certified completion of continuing education for insurance license renewal
2024-02-26 /CRD 5939096 /NY
Yuqing Lin Suspended for Falsely Certifying Completion of Continuing Education
Falsely certified completion of continuing education for insurance license renewal
2024-02-26 /CRD 6012559 /CA
Ramses David Visher Suspended Four Months for Negligent Misrepresentations in Private Placement Offerings
Made negligent misrepresentations about regulatory approval status and professional registrations in private placement offerings
2024-02-23 /CRD 4042866 /NJ
Michael Craig Brickman Barred for Refusing to Cooperate with FINRA Investigation
Refused to provide information and documents related to customer mediation request
2024-02-21 /CRD 6437019 /NC
Lori Fleischhacker Copeland Barred for Refusing to Cooperate with Outside Business Activities Investigation
Refused to provide documents and information regarding outside business activities
2024-02-21 /CRD 4907900 /MA
Michael Ryan Petruska Charged with Failing to Disclose Felony Charge
Accused of willfully failing to amend Form U4 to disclose felony charge
2024-02-20 /CRD 1239086 /GA
Darren Michael Kubiak Barred for Failing to Appear for FINRA Testimony
Failed to appear for on-the-record testimony regarding suitability of limited partnership recommendations
2024-02-20 /CRD 6411535 /NY
Vincent Joseph Cagnina Suspended for Falsely Certifying Completion of Continuing Education
Falsely certified completion of continuing education for insurance license renewal
2024-02-16 /CRD 4585780 /TX
Jeffrey Wayne Davidson Suspended 21 Months for Undisclosed Private Offering
Participated in $10.21 million private securities offering without firm notice or approval