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Broker records
2,290 records on file, newest first
2024-01-08 /CRD 7268244 /NJ
Brittny Ann Stagnitto Barred by FINRA for Failure to Provide Information
Failure to provide information pursuant to FINRA Rule 9552(h) resulting in bar
2024-01-08 /CRD 6166926 /NY
Kwame Adusei Suspended by FINRA for Failure to Provide Information
Failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2024-01-08 /CRD 7581277 /SC
Brittany Anderson Suspended by FINRA for Failure to Provide Information
Failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2024-01-08 /CRD 7536886 /HI
Brian Hall Suspended by FINRA for Failure to Provide Information
Failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2024-01-08 /CRD 4814346 /CA
Monu Joseph Suspended by FINRA for Failure to Provide Information
Failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2024-01-08 /CRD 7575213 /SC
Quintosha Thomas Suspended by FINRA for Failure to Provide Information
Failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2024-01-05 /CRD 44254 /NY
FINRA Fines MMA Securities LLC $30,000 for Supervisory Failures Related to Outside Business Activities
Failed to establish, maintain, and enforce supervisory system for outside business activities (OBAs); failed to evaluate and document OBAs disclosed by registered representatives
2024-01-05 /CRD 8174 /NJ
FINRA Fines UBS Financial Services Inc. $100,000 for Municipal Securities Reporting Failures
Failed to include Non-Transaction-Based Compensation (NTBC) indicator for municipal securities transaction reports to MSRB RTRS; inadequate supervisory system for RTRS reporting compliance
2024-01-05 /CRD 2739167 /PA
FINRA Files Complaint Against Austin Richard Dutton Jr. Alleging Unsuitable Alternative Investment Recommendations and Falsification of Records
Alleged unsuitable recommendations of illiquid alternative investments to retirees, alleged falsification of firm books and records, and alleged failure to respond to FINRA information requests
2024-01-05 /CRD 311448 /TX
CVEX Markets LLC Suspended by FINRA for Failure to Provide Information
Failure to provide information or keep information current pursuant to FINRA Rule 9552
2024-01-05 /CRD 4893776 /CT
Gianluca De Berardinis Suspended by FINRA for Failure to Provide Information
Failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2024-01-05 /CRD 2249156 /MI
Robin K. Johnson Suspended by FINRA for Failure to Comply with Arbitration Award
Failure to comply with arbitration award pursuant to FINRA Rule Series 9554