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Broker records
2,290 records on file, newest first
2023-10-20 /CRD 6368188 /NJ
Jose Luis Centeno Charged with Falsifying Compliance Review Records
Alleged falsification of compliance review records
2023-10-19 /CRD 19801 /NY
BGC Financial Fined $200,000 for Inadequate Spoofing and Layering Surveillance
Failed to maintain adequate spoofing and layering surveillance
2023-10-19 /CRD 809473 /IL
Richard Evans Leininger Suspended 2 Months for Mismarking Order Tickets
Mismarking order tickets as unsolicited
2023-10-18 /CRD 5274094 /NY
Philip Michael Connors Barred for Refusing to Appear for FINRA Testimony
Failure to appear for FINRA testimony regarding sales practice violations
2023-10-17 /CRD 4955243 /MN
James Michael Green Barred for Refusing to Provide Documents to FINRA
Failure to provide documents and information to FINRA
2023-10-17 /CRD 2660786 /NY
Kenneth John Arellano Suspended 30 Days for Using Unapproved Messaging Service
Causing incomplete books and records through unapproved messaging
2023-10-17 /CRD 2313891 /FL
Todd Morris Mezrah Suspended 20 Days for Misleading Investment Emails
Misleading investment communications violating content standards
2023-10-17 /CRD 5649838 /TN
Gerald Michael Taylor Suspended 3 Months for Undisclosed Outside Activities and Account Violations
Undisclosed outside business activities and unauthorized outside account
2023-10-17 /CRD 5836696 /TX
Nicholas Blake Williams Suspended 1 Month for Recording Inaccurate Order Information
Recording inaccurate order information
2023-10-17 /CRD 6034987
Beliveau Bays Charged with Forgery and Providing False Information
Alleged forgery and false statements
2023-10-17 /CRD 4503197 /CA
Stewart Ginn Charged with Churning and Excessive Trading of Customer Accounts
Alleged churning and excessive trading
2023-10-16 /CRD 5765351 /MA
Lee Michael Generous Suspended 3 Months for Signature Falsification and Inaccurate Records
Falsifying signatures and maintaining inaccurate books and records