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Broker records
2,290 records on file, newest first
2025-12-30 /CRD 2693672 /NY
Wilfredo Felix Jr. Bar Upheld by Appeals Court for Failure to Produce Firm Records
Failure to produce firm financial records
2025-12-30 /CRD 1163829 /CA
David John Taddeo Suspended Four Months for Selling Away and Settling Customer Complaints
Private securities transactions and settling complaints away from firm
2025-12-30 /CRD 7333176 /MD
Guy Patrick Young Suspended One Month for Sharing Confidential Customer Information
Improperly sharing confidential customer information
2025-12-29 /CRD 17912 /MO
SogoTrade Fined $75,000 for Market Access Control Deficiencies
Inadequate market access controls and supervision
2025-12-29 /CRD 4809045 /TX
Ronald Ray Botello Suspended Three Months for Unapproved Borrowing from Senior Customers
Borrowing from customers without firm approval
2025-12-24 /CRD 16365 /GA
Carter Terry & Company Fined $75,000 and Ordered to Pay $176,590 in Restitution for UIT Supervision Failures
Inadequate supervision of UIT recommendations
2025-12-23 /CRD 22982 /NY
The Benchmark Company Fined $65,000 for Trade-Through Violations
Trade-through violations and inadequate supervision
2025-12-23 /CRD 6840837 /NY
William Noel Girasole Suspended Two Months for Forging Electronic Signatures on Insurance Applications
Forging electronic signatures on insurance applications
2025-12-22 /CRD 816 /NY
Credit Suisse Securities Fined $7.125 Million for Surveillance System Failures
Inadequate surveillance systems for detecting manipulation and insider trading
2025-12-22 /CRD 308213 /NJ
Digital Brokerage Services Fined $85,000 for Misleading Crypto Communications
Misleading retail communications regarding crypto assets
2025-12-22 /CRD 35371 /CT
Osaic Institutions Fined $650,000 for Anti-Money Laundering Program Deficiencies
Inadequate AML program and customer due diligence
2025-12-22 /CRD 144730 /TX
Kipling Jones & Co. and Robbi Julene Jones Sanctioned for Books and Records Violations and Misleading FINRA
Books and records violations; inaccurate FOCUS reports; willful violation of Exchange Act Section 17(a); providing false information to FINRA