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Broker records
2,290 records on file, newest first
2023-10-04 /CRD 7429841 /GA
Vivek Tangudu Barred for Refusing FINRA Testimony
Failure to appear for FINRA testimony
2023-10-03 /CRD 6314469 /TX
Ravid Gold Suspended 30 Days for Circumventing Cross Trade Requirements
Circumventing cross trade consent requirements
2023-10-02 /CRD 7784 /RI
Fidelity Brokerage Services LLC Fined $900,000 for Options Trading Approval Failures
Inadequate supervisory system for options trading approval
2023-10-02 /CRD 7400818 /CA
Dima Munzer Abdulnour Suspended 18 Months for Series 7 Exam Cheating
Cheating on Series 7 examination
2023-10-02 /CRD 5504995 /CT
Justin Thomas Maher Suspended 12 Months for Undisclosed Crypto Activities
Undisclosed crypto-related outside business activities and private securities transactions
2023-10-02 /CRD 2926996 /MD
John David Sullivan Charged with Failing to Provide Documents in Check Kiting Investigation
Alleged failure to provide documents in check kiting investigation
2023-09-29 /CRD 120708 /NY
Maxim Group Fined $500,000 for Section 5 and AML Failures
Failed to establish adequate supervision for Section 5 compliance and AML procedures for low-priced securities
2023-09-29 /CRD 150696 /NY
Santander US Capital Markets Fined for MNPI and Section 5 Supervision Failures
Failed to establish adequate supervision for MNPI controls and Section 5 compliance
2023-09-29 /CRD 3097243 /NY
Damian Baird Accused of Failing to Cooperate with FINRA Investigations
Allegedly failed to cooperate with investigations into arbitration discovery and customer check alteration
2023-09-28 /CRD 6694181 /WV
Cody Roos Suspended for Forging Customer Signatures
Forged customer signatures on account documents and provided false compliance attestations
2023-09-27 /CRD 1206842 /NY
Alan Donenfeld Barred for Failing to Testify About Outside Business Activity
Refused to testify regarding outside business activity investigation
2023-09-27 /CRD 2073702 /KS
Jean St. Pierre Suspended for Failing to Disclose Felony Charge and Conviction
Willfully failed to disclose felony charge and conviction on Form U4 and provided false responses to firm