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Broker records
2,290 records on file, newest first
2026-01-09 /CRD 2232647 /TX
Eduardo Leon Jr. Suspended for Borrowing $750,000 from Customer Without Firm Approval
Borrowed $750,000 from securities customer without firm notification or approval; loans undocumented; no repayment made
2026-01-08 /CRD 17454 /NY
BNY Mellon Capital Markets Fined $60,000 for Deficient Municipal Securities Transaction Reporting
Failed to include required M020 special condition indicator in MSRB RTRS reports for new issue municipal securities; supervisory failures
2026-01-08 /CRD 19616 /MO
Wells Fargo Clearing Services Fined $1.25 Million for Municipal Securities Settlement Failures
Failed to close out municipal securities fails within required timeframes; failed to deliver securities; deficient supervisory procedures
2026-01-08 /CRD 4034356 /OH
William Kielczewski Fined and Suspended for Undisclosed Private Securities Transactions and Misleading Form U4 Filings
Undisclosed private securities transactions exceeding $6 million; false statements to employer; misleading Form U4 filings; undisclosed hedge fund activities exceeding $10 million in investments
2026-01-08 /CRD 3126881 /MD
Andrew Stephen Mogol Suspended for Check-Kiting in Brokerage Account
Made electronic transfers of approximately $85,000 to brokerage account knowing bank account had insufficient funds
2026-01-05 /CRD 6818846 /NJ
Steven A. Pusterla Barred by FINRA for Failure to Provide Information
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2025-12-31 /CRD 130847 /NY
Standard Chartered Securities Fined $95,000 for Late TRACE Reporting
Late TRACE reporting and inadequate supervision
2025-12-31 /CRD 2805483 /NY
Joseph Edward O’Shea Jr. Barred for Refusing to Testify in Excessive Trading Investigation
Failure to appear for testimony
2025-12-31 /CRD 4671557 /IL
Justin A. Parker Suspended 30 Days for Unauthorized Tender Offer Participation
Unauthorized transactions in customer accounts
2025-12-30 /CRD 8361 /CT
A.G.P. / Alliance Global Partners Fined $145,000 for Regulation M Notification Failures
Regulation M notification failures and inadequate supervision
2025-12-30 /CRD 145994 /CA
Penserra Securities Fined $40,000 for Inaccurate Trade Confirmations
Inaccurate trade confirmations and inadequate supervision
2025-12-30 /CRD 114419 /FL
VSI Securities Fined $20,000 for Form CRS Disclosure Failures
Failure to disclose disciplinary history on Form CRS