The database
Broker records
2,290 records on file, newest first
2023-11-21 /CRD 6972542 /TN
Frenise Ladawn Mann Suspended for Forging Customer Signatures and Impersonating Customer
Forging signatures; impersonating customer
2023-11-21 /CRD 6298233 /NJ
Joao Amorim Pinto Suspended for Excessive Trading Causing $141,000 in Losses
Excessive trading; Reg BI violations
2023-11-20 /CRD 4654126 /TX
Hector Jesus Hernandez Barred for Refusing to Testify About Outside Business Activity
Refusal to testify about potential OBA disclosure failure
2023-11-20 /CRD 4118177 /CA
Sara Yasmin Qazi Suspended for Undisclosed Private Securities Transaction and Improper Communications
Undisclosed private securities transaction; distributing misleading materials
2023-11-20 /CRD 857819 /NJ
David Ross Stuart Suspended for Paying Referral Fees to Barred Individual
Paying referral fees to barred individual; false compliance certifications
2023-11-17 /CRD 4498061 /CA
Christopher Booth Kennedy Barred for Churning Accounts and Creating Fake Statements
Churning; creating fake account statements; lying to regulators
2023-11-16 /CRD 149777 /NY
Morgan Stanley Smith Barney Fined $400,000 for Prospectus Delivery Failures
Prospectus delivery failures and inadequate supervision
2023-11-16 /CRD 4798755 /FL
Keith M. Curtis Barred for Refusing to Testify About Potential Conversion of Funds
Refusal to testify about potential conversion of funds
2023-11-16 /CRD 2516610 /CA
Jeffrey Allen Russell Suspended for Unauthorized Transactions in Customer Accounts
Unauthorized trading in customer accounts
2023-11-15 /CRD 877 /CA
Wedbush Securities Fined $350,000 for Fraudulent Wire Transfer Supervision Failures
Inadequate supervision of customer fund transfers
2023-11-15 /CRD 1839328 /FL
Edward Steven Mercer Barred for Refusing to Testify About Crypto Investment
Refusal to testify about customer crypto investment
2023-11-15 /CRD 2638059 /NJ
Robert Joseph DeHayes Suspended for Maintaining Secret Outside Account for Prohibited Options Trading
Maintaining undisclosed outside account to evade trading restrictions