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Broker records
2,290 records on file, newest first
2023-11-08 /CRD 169578 /CO
Parsonex Capital Markets Fined for Form CRS Disclosure Violations
Form CRS disclosure violations
2023-11-07 /CRD 4047060 /CA
Megurditch Mike Patatian Barred and Ordered to Disgorge Over $458,000 for Unsuitable REIT and Annuity Recommendations
Unsuitable REIT and annuity recommendations; falsifying records
2023-11-07 /CRD 4768530 /IA
John Benjamin Nelson Suspended for Forging Business Partner’s Signature
Forging business partner's signature on account forms
2023-11-06 /CRD 166446 /CA
Decker & Co Fined for Net Capital and AML Violations
Net capital violations and AML testing failures
2023-11-06 /CRD 8158 /WI
Robert W. Baird Ordered to Pay Over $519,000 in Restitution for Mutual Fund Sales Charge Failures
Failure to provide mutual fund sales charge waivers and rebates
2023-11-06 /CRD 28269 /NY
Tradition Securities Fined $140,000 for Order Recording and Risk Management Failures
Order recording failures and inadequate risk management controls
2023-11-06 /CRD 1789317 /NY
Virginia Davicino Barred for Refusing to Provide Information
Refusal to provide information to FINRA
2023-11-06 /CRD 1267279 /MO
John Michael Fagan Barred for Refusing to Testify
Refusal to provide testimony to FINRA
2023-11-06 /CRD 2266269 /NY
Robert Emmett Marquez Barred for Refusing to Testify
Refusal to provide testimony regarding pre-IPO sales
2023-11-03 /CRD 15650 /MA
Bolton Global Capital Fined $75,000 for Cybersecurity Failures
Cybersecurity and data protection violations
2023-11-03 /CRD 123531 /HI
Sun’s Brothers Securities Fined for Anti-Money Laundering Program Failures
Anti-money laundering compliance failures
2023-11-03 /CRD 5109237 /VA
James Samuel Hanson Suspended for Failing to Disclose Felony Charges
Willful failure to disclose felony charges