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Broker records
2,290 records on file, newest first
2023-12-01 /CRD 22982 /NY
Benchmark Company Fined for Research Information Control Failures
Failed to prevent selective dissemination of material non-public research information
2023-12-01 /CRD 3018615 /PA
John Dougherty Barred for Failing to Provide Information to FINRA
Failed to provide information regarding undisclosed outside business activities and private securities transactions
2023-12-01 /CRD 4517367 /FL
Joe Gainer Barred for Refusing FINRA Testimony
Refused to testify regarding undisclosed position of trust and $3 million gift from client
2023-12-01 /CRD https /Failed to supervise fully paid securities lending and made misrepresentations about customer compensation
The over $1 million in restitution compensates customers whose securities were lent over dividend dates and who potentially suffered adverse tax consequences. This case illustrates the importance of making individualized appropriateness determinations before enrolling customers in programs that could result in tax consequences. Automatically enrolling all customers without evaluation and providing false information about compensation are serious violations. Investors should carefully review whether securities lending programs are appropriate for their tax situation and verify they will actually receive the compensation promised.”
2600000
2023-11-30 /CRD 41139 /TX
Alterna Securities Fined for Inadequate Supervision of Pre-Arranged Trading
Inadequate supervision of potentially manipulative trading
2023-11-30 /CRD 20472 /NY
TIAA-CREF Fined $125,000 for Customer Complaint Reporting Failures
Failure to report customer complaints and settlements
2023-11-30 /CRD 2559502 /TX
Forrest Addington Wester Barred for Refusing to Provide Information About Potential Misappropriation
Refusal to provide information about potential misappropriation
2023-11-30 /CRD 2482909 /OH
Malay Kumar Suspended for Unsuitable Variable Annuity Exchanges Causing $50,000 in Surrender Fees
Unsuitable variable annuity exchanges; misrepresenting transactions
2023-11-29 /CRD 1032543 /TN
John Patterson Corey Suspended for Impersonating Customer in Phone Calls
Impersonating customer in telephone calls to obtain account information
2023-11-28 /CRD 16569 /NY
Allied Millennial Partners Fined for Failure to File Private Placement Documents
Failure to file required private placement documents
2023-11-28 /CRD 7344563 /MA
Kerry Lee Broderick Barred for Refusing to Testify About Helping Representative Place Trades
Refusal to testify about circumventing firm policies
2023-11-28 /CRD 6187396 /TX
Jake Louis Fruge Suspended for Undisclosed Outside Business Activity
Undisclosed outside business activity with conflicts of interest