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Broker records
2,290 records on file, newest first
2023-10-12 /CRD 7301382 /NJ
Nicholas Michael Caruso Suspended 3 Months for Excessive Trading Violating Reg BI
Excessive trading violating Regulation Best Interest
2023-10-11 /CRD 1658436 /NC
Arun Kumar Aggarwal Suspended 2 Months for Unauthorized Discretionary Trading
Unauthorized discretionary trading and inaccurate books and records
2023-10-11 /CRD 2859847 /NY
Frank L. Martin Suspended 3 Months for Supervisory Failures Enabling Excessive Trading
Failure to supervise excessive trading
2023-10-10 /CRD 4465359 /CA
James R. Dickie Suspended 8 Months for OBA Violations and Form U4 Misrepresentations
Undisclosed outside business activity and willful Form U4 failures
2023-10-09 /CRD 19585 /NY
HSBC Securities Fined $2 Million for Research Report Disclosure Violations
Inaccurate conflict of interest disclosures in research reports
2023-10-09 /CRD 5340171 /CA
Jorge Hernandez Barred for Refusing to Provide Information About Outside Business Activities
Failure to cooperate with investigation into outside business activities
2023-10-09 /CRD 2667392 /FL
Arni Jay Diamond Suspended 4 Months for Unsuitable Alternative Investment Recommendations
Unsuitable alternative investment recommendations
2023-10-06 /CRD 2771452 /FL
Robert L. Jones Barred for Failing to Provide Documents to FINRA
Failure to provide documents and information to FINRA
2023-10-06 /CRD 2788300 /FL
Todd Michael Lesk Barred for Refusing to Cooperate with Crypto Investigation
Failure to cooperate with investigation into crypto recommendations
2023-10-06 /CRD 4073006 /GA
Scott Michael Bremus Suspended 6 Months for Undisclosed Private Securities Transaction
Undisclosed private securities transaction
2023-10-05 /CRD 7321603 /CA
Elizabeth Ashley Nichols Suspended 18 Months for Series 7 Exam Cheating
Cheating on Series 7 examination by possessing cell phone
2023-10-04 /CRD 2628708 /IL
James P. Pelletiere Barred for Refusing to Cooperate with FINRA Investigation
Failure to cooperate with FINRA investigation