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Broker records
2,290 records on file, newest first
2024-02-14 /CRD 37869 /MD
Ceros Financial Services Fined $75,000 for Email Supervision and Data Security Failures
Failed to supervise external email for business communications; failed to preserve communications; failed to safeguard customer information and develop identity theft prevention program
2024-02-13 /CRD 1314547 /CA
David Victor Tall Barred for Refusing to Cooperate with FINRA Investigation
Refused to provide information and documents requested by FINRA
2024-02-09 /CRD 39473 /FL
TradeStation Securities Fined $700,000 for AML Program Deficiencies
Failed to develop reasonable AML escalation and tracking procedures; inadequate written supervisory procedures for low-priced securities
2024-02-08 /CRD 2355556 /TN
For investors
Participated in private securities transactions totaling $610,000 without firm disclosure or approval
2024-02-07 /CRD 5703273 /NY
Sarvendra Harkishun Suspended Four Months for Failing to Disclose Outside Brokerage Accounts
Failed to obtain firm consent for outside brokerage accounts; made false certifications about account disclosures; failed to notify financial institutions of firm associations
2024-02-07 /CRD 2075525 /CA
Matt Ward Suspended for Exercising Unauthorized Discretion in Customer Accounts
Exercised discretion in customer accounts without written authorization or firm acceptance
2024-02-06 /CRD 361 /NY
Goldman Sachs & Co. LLC Fined $512,500 for Supervisory Failures in Surveillance Systems
Failed to maintain supervisory system to identify manipulative trading; surveillance gaps excluded warrants, rights, units, and OTC securities
2024-02-06 /CRD 361 /NY
Morgan Stanley Fined $1.6 Million for Municipal Securities Violations
Failed to timely close out 239 failed inter-dealer municipal transactions; failed to obtain possession or control of 247 municipal securities; supervisory failures
2024-02-05 /CRD 2263087 /CA
Brett Arthur Hartvigson Barred for Refusing to Cooperate with FINRA Investigation
Refused to produce information and documents requested by FINRA
2024-02-05 /CRD 1742689 /NY
Salvatore Anthony LaRocca Suspended for Falsely Certifying Completion of Continuing Education
Falsely certified completion of continuing education for insurance license renewal
2024-02-02 /CRD 836167 /MA
Timothy William Leveroni Suspended for Allowing Others to Sign His Name on Account Documents
Permitted other representatives to electronically sign his name on account documents; caused firm to maintain inaccurate books and records
2024-02-01 /CRD 5027783 /CA
Linda Chan Suspended for Falsely Certifying Completion of Continuing Education
Falsely certified completion of continuing education for insurance license renewal