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Broker records
2,290 records on file, newest first
2023-12-08 /CRD 152144 /NY
HRT Financial Over-Tendered Shares and Gained Unlawful Profits
Over-tendered shares in partial tender offer and lacked supervisory procedures
2023-12-07 /CRD 43035 /NC
Southeast Investments and Frank Black Fined for Email Retention Failures
Failed to establish effective supervisory system for email retention and recordkeeping
2023-12-07 /CRD 4581876 /NY
Arthur McQuaide Suspended for Excessive and Unsuitable Trading
Engaged in excessive and unsuitable trading in senior customers' accounts causing significant losses
2023-12-06 /CRD 33725 /FL
SRT Securities Failed to Supervise Outside Business Activities
Failed to supervise outside business activities involving investment-related services
2023-12-05 /CRD 8384 /NY
Windmill Group Charged Excessive Commissions to Customers
Charged excessive commissions and failed to supervise discretionary trading
2023-12-05 /CRD 2447660 /FL
William Godfrey Barred for Refusing to Testify About Annuity Exchanges
Submitted variable annuity applications with inaccurate information and refused to testify
2023-12-05 /CRD 6442930 /CA
David Korsnack Barred for Cheating on Series 7 Exam
Accessed unauthorized materials during Series 7 exam and provided false statements to FINRA
2023-12-05 /CRD 6102769 /TX
Matthew Mierzycki Suspended for Discretionary Trading and Disclosure Failures
Exercised discretionary trading without authorization and failed to disclose financial compromises
2023-12-04 /CRD 4631886 /MA
Estevao Semedo Barred for Non-Cooperation with FINRA
Failed to provide information about undisclosed outside business activities and felony charge
2023-12-04 /CRD 6496914 /NJ
Jacob Frankel Suspended for Failing to Disclose Felony Charges and Taking Customer Information
Willfully failed to disclose felony charges and improperly retained customer personal information
2023-12-04 /CRD 5202789 /ID
Justin Parkhurst Suspended for Falsifying Trade Records
Caused firm to maintain inaccurate books and records by changing representative codes on trades
2023-12-04 /CRD 1263265 /MO
Daniel Vatterott Suspended Six Months for Falsifying Trade Records
Falsified representative codes on trades resulting in improper commission payments