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Broker records
2,290 records on file, newest first
2023-12-15 /CRD 15548 /IL
RCM Securities Failed to File Accurate Client Relationship Summary
Willfully failed to file accurate and timely Form CRS disclosures
2023-12-15 /CRD 1066139 /FL
Anthony Cantone Barred for Refusing to Testify About Low-Priced Securities
Refused to testify about customer purchases of low-priced securities and potential conflicts of interest
2023-12-15 /CRD 5634972 /OH
John Petrone Barred for Refusing to Provide Information About Elderly Customer
Refused to provide information about trading in elderly customer's accounts and potential misappropriation
2023-12-15 /CRD 5397543 /NJ
Yann Faho Suspended for Using Personal Phone for Securities Communications
Used personal mobile phone for securities communications that firm could not capture or retain
2023-12-14 /CRD 4637674 /NY
Eric Kubiak Barred for Refusing to Provide Crypto-Related Information
Refused to provide information about undisclosed outside business activities related to crypto assets
2023-12-14 /CRD 6671667 /NJ
Kevin Barry Suspended 18 Months for Possessing Cell Phone During Series 7 Exam
Possessed and accessed cell phone during remote Series 7 exam after stating it was out of reach
2023-12-14 /CRD 3231494 /NY
Keith Baron Accused of Misrepresentations and Undisclosed Conflicts
Alleged material misrepresentations, undisclosed conflicts of interest, and private securities transactions
2023-12-13 /CRD 7090353 /SC
Alexandria Bovee Barred for Refusing FINRA Testimony
Refused to testify regarding potential securities law violations in offer or sale of securities
2023-12-13 /CRD 7395727 /FL
Anna Schendra Suspended 18 Months for Accessing Materials During Series 7 Exam
Accessed unauthorized study materials during three breaks while taking the Series 7 exam
2023-12-12 /CRD 4308539 /NY
John Ordonez Suspended 13 Months for Backdating Documents Submitted to FINRA
Backdated supervisory documents submitted to FINRA to conceal lack of contemporaneous reviews
2023-12-12 /CRD 6814035 /CA
Darren Ting Suspended for Unauthorized Discretionary Trading and Mismarking Trades
Exercised discretionary authority without authorization and mismarked solicited trades as unsolicited
2023-12-11 /CRD 1284685 /NY
Joseph Savasta Suspended for Failing to Disclose Felony Charges and Guilty Pleas
Willfully failed to timely disclose felony charges and guilty pleas on Form U4