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Broker records
2,290 records on file, newest first
2024-01-04 /CRD 7216446 /TX
FINRA Suspends Kabir H. Ali for Possessing Unauthorized Materials During Exam
Possessed unauthorized materials including cell phone and external monitor while taking the Series 7 exam via remote testing platform
2024-01-04 /CRD 825759 /GA
FINRA Sanctions David Adam Elgart for Operating While Statutorily Disqualified
Associated with member firm while unregistered and statutorily disqualified; used other representatives' credentials to conduct municipal securities business
2024-01-04 /CRD 4958219 /OK
Jason Mark Kurtz Suspended by FINRA for Failure to Comply with Arbitration Award
Failure to comply with arbitration award pursuant to FINRA Rule Series 9554
2024-01-02 /CRD 2922619 /CA
FINRA Sanctions Jimmy J. Galindo for Inaccurate Books and Records
Caused member firm to maintain inaccurate books and records by changing representative codes on trades, resulting in inaccurate trade confirmations and improperly higher commissions
2024-01-02 /CRD 311448 /TX
CVEX Markets LLC Suspended by FINRA for Failure to Meet Eligibility Standards
Failure to meet eligibility or qualifications standards pursuant to FINRA Rule 9555
2024-01-02 /CRD 1806486 /NY
Michael Fasciglione Barred by FINRA for Failure to Provide Information
Failure to provide information pursuant to FINRA Rule 9552(h) resulting in bar
2024-01-01
BofA Securities Fined $24 Million for Treasury Securities Spoofing
Spoofing in U.S. Treasury markets and supervisory failures
2023-12-28 /CRD 3777 /UT
Wilson-Davis & Co. Sanctioned for Short Selling and AML Violations
Short selling violations, supervisory failures, and AML deficiencies
2023-12-27 /CRD 6413 /SC
LPL Financial Fined $5.5 Million for Supervisory and Reg BI Failures
Failed to supervise direct transactions, provided inaccurate fee information, and failed to comply with Reg BI
2023-12-22 /CRD 36418 /CT
Interactive Brokers Fined $3.5 Million for Best Execution Failures
Failed to conduct adequate best execution reviews and reasonably supervise execution quality
2023-12-22 /CRD 39914 /CA
WestPark Capital Sanctioned for AML Failures and Unethical Conduct
AML failures, unethical conduct regarding rescission, supervisory failures, and best execution violations
2023-12-22 /CRD 2023-12-22 /5000
Mitchell Morrison Suspended for Undisclosed Private Securities Transactions
Conducted undisclosed private securities transactions raising $462