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Broker records
2,290 records on file, newest first
2023-09-26 /CRD 7059 /NY
Citigroup Fined $2.5 Million and Ordered to Disgorge $5.7 Million for Over-Tendering Shares
Over-tendered shares in partial tender offers in violation of Short Tender Rule
2023-09-25 /CRD 6872054 /VA
Sebastian Puznowski Suspended by FINRA for Failure to Provide Information
Failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2023-09-25 /CRD 1457661 /WV
Rodney Ferruso Barred for Failing to Testify About Mutual Fund Trading
Refused to testify regarding short-term trading of mutual funds in customer accounts
2023-09-25 /CRD 5157882 /UT
Adam Anderson Suspended for Undisclosed Outside Business Activity
Failed to disclose outside business activity and provided false attestations
2023-09-22 /CRD 361 /NY
Goldman Sachs Fined $6 Million for Blue Sheet Reporting Failures
Submitted inaccurate blue sheets and failed to establish adequate supervisory system
2023-09-22 /CRD 1133673 /NJ
William Ard Suspended for Misleading Communications and False Statements
Forwarded misleading communications, made false statements, and communicated off-channel
2023-09-22 /CRD 4498061 /CA
Christopher Kennedy Accused of Churning Customer Accounts and Making Fake Statements
Allegedly churned customer accounts, made fake statements, and lied to FINRA
2023-09-21 /CRD 4386481 /NJ
Pierre Hilario Barred for Failing to Cooperate with Private Placement Investigation
Refused to testify or produce documents regarding private placement investigation
2023-09-21 /CRD 2483733 /NJ
Ronald Smith Barred for Failing to Produce Documents in Customer Complaint Investigation
Refused to produce documents requested in customer complaint investigation
2023-09-21 /CRD 4205289 /WI
John Pelletier Accused of Unauthorized Trading in Customer IRA
Allegedly engaged in unauthorized trading in customer IRA account
2023-09-19 /CRD 2176917 /TX
Leslie Jackson Barred for Selling Away and False Compliance Responses
Participated in private securities transactions without notice to firm and provided false compliance responses
2023-09-18 /CRD 2762 /NY
TP ICAP Global Markets Fined for TRACE Reporting Violations
Inaccurately reported TRACE transactions and failed to establish adequate supervisory system