The database
Broker records
2,290 records on file, newest first
2023-11-03 /CRD 4610561 /FL
Brian Keith Shey Suspended for Failing to Disclose Felony Insurance Fraud Charges
Willful failure to disclose felony insurance fraud charges
2023-11-02 /CRD 1069141 /NJ
William Savary Suspended for Undisclosed Private Securities Transactions
Undisclosed private securities transactions
2023-11-01 /CRD 4581160 /NY
Ryan Adrian Morfin Suspended for Unregistered Investment Banking Activities
Unregistered investment banking and principal activities
2023-10-27 /CRD 2846054 /NY
Salvatore Gambino Suspended 4 Months for Unsuitable GPB Alternative Investment Recommendations
Unsuitable alternative investment recommendations
2023-10-27 /CRD 7291086 /IL
Nathan Wilks Suspended 9 Months for Failing to Disclose Judgments and Falsifying Receipt
Willful failure to disclose judgments and falsification of documents
2023-10-27 /CRD 3022149 /CO
James Brett Stuart Charged with Supervisory Failures Regarding Excessive Trading
Alleged supervisory failures regarding excessive trading
2023-10-26 /CRD 1392748 /FL
Mark Bedros Beloyan Suspended 2 Years for Unregistered Securities Sales and AML Failures
Facilitating unregistered securities sales and AML program failures
2023-10-26 /CRD 6386081 /NJ
Brian Francis Giammona Suspended 3 Months for Falsifying Wire Transfer Documentation
Falsifying wire transfer verification documentation
2023-10-25 /CRD 6810142 /TX
Christian Thomas Holmes Suspended 5 Months for Forging Signature on Leave Application
Forging signature on leave of absence application
2023-10-25 /CRD 1360824 /NY
Kevin Anthony Zappia Suspended 15 Days for Mismarking Order Tickets
Mismarking order tickets as unsolicited
2023-10-23 /CRD 146122 /TX
Electronic Transaction Clearing Fined $100,000 for Registration Violations
Permitting unqualified individuals to operate without proper registration
2023-10-20 /CRD 148493 /NY
Odeon Capital Group Fined $100,000 for Trade Reporting Violations
Late and inaccurate trade reporting to TRACE and RTRS