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Broker records
2,290 records on file, newest first
2023-11-28 /CRD 7569671 /NY
Stephen J. LaGreca Suspended for Cheating on Series 7 Exam
Possessing unauthorized materials during Series 7 exam; dishonesty
2023-11-28 /CRD 5288581 /FL
Ian James Prukner Suspended for Undisclosed Outside Business Activity
Undisclosed outside business activity with conflicts of interest
2023-11-28 /CRD 5422319 /LA
Melton Weaver III Suspended for Undisclosed Outside Business Activity
Undisclosed outside business activity with conflicts of interest
2023-11-27 /CRD 7616 /NY
Cowen and Company Fined $275,000 for Rule 606 Reporting Violations
Rule 606 reporting violations
2023-11-27 /CRD 164484 /NY
TD Private Client Wealth Fined $600,000 for Email Supervision Failures
Email supervision failures
2023-11-27 /CRD 5324763 /MI
Robert Lee Golding Barred for Refusing to Provide Information About Signature Forgeries
Refusal to provide information about signature forgeries and other violations
2023-11-27 /CRD 5457640 /MA
Michael MacLean Suspended for Changing Representative Codes to Inflate Commissions
Causing inaccurate books and records by changing representative codes
2023-11-27 /CRD 341008 /NY
Ronald Lewis Morse Suspended for Forging Customer Signature on Profile Document
Forging customer signature on profile document with inaccurate information
2023-11-27 /CRD 7059044 /AR
Jacob Pae Suspended for Forging Customer Signatures on Authorization Forms
Forging customer electronic signatures on ACH authorization forms
2023-11-22 /CRD 2196706 /NE
Scott William Norvell Suspended for Misrepresenting Annuity Benefits and Forging Signatures
Misrepresenting annuity benefits; falsifying signatures
2023-11-22 /CRD 6055474 /NY
Troy Allen Orlando Suspended for Excessive Trading Causing $198,000 in Losses
Excessive trading; Reg BI violations
2023-11-21 /CRD 2037669 /TX
Robert Allen Silvestri Barred for Refusing to Testify About Borrowing From Customer
Refusal to testify about borrowing from customer