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Broker records
2,290 records on file, newest first
2023-11-15 /CRD 3022789 /TX
John Ginsburg Suspended for Adding Information to Signed Customer Forms
Adding information to customer forms after obtaining signatures
2023-11-14 /CRD 375 /NY
H.C. Wainwright Fined $200,000 for Net Capital Deficiencies
Net capital violations and inaccurate financial reporting
2023-11-14 /CRD 2752676 /PA
Richard DiArenzo Barred for Refusing to Provide Information and Testimony
Refusal to provide information and testimony
2023-11-14 /CRD 6115674 /CA
Jilena Yuen-Han Mok Suspended for Unauthorized Trading and Exercising Discretion
Unauthorized trading and exercising discretion without authorization
2023-11-13 /CRD 42072
Haywood Securities Fined $175,000 for Inadequate Due Diligence and Reg BI Violations
Inadequate due diligence and Reg BI violations
2023-11-13 /CRD 146744 /NY
Puma Capital Fined $100,000 for Trade-Through Violations
Trade-through violations and inadequate supervisory procedures
2023-11-13 /CRD 6430066 /FL
Fedelyne Cemoin Suspended for Failing to Disclose Felony Fraud Charge
Willful failure to disclose felony fraud charge; false compliance certifications
2023-11-13 /CRD 2598586 /NJ
Robert William Clayton Jr. Suspended for Mismarking Order Tickets
Mismarking solicited trades as unsolicited
2023-11-13 /CRD 3230753 /MI
Royal Gregory Fisher Suspended for Acting as Fiduciary and Accepting Beneficiary Designation
Accepting prohibited fiduciary roles and beneficiary designation
2023-11-13 /CRD 1895797 /NJ
John Roddy Hughes Suspended for Maintaining Undisclosed Outside Securities Account
Maintaining undisclosed outside securities account
2023-11-09 /CRD 136321 /NY
Commonwealth Australia Securities Fined for TRACE Reporting Violations
TRACE reporting violations
2023-11-09 /CRD 14716 /TN
Home Financial Services Fined $50,000 for Municipal Securities Disclosure Violations
Municipal securities disclosure and reporting violations