The database
Broker records
2,290 records on file, newest first
2023-09-18 /CRD 3270398 /FL
Ron Filoramo Barred for Failing to Cooperate with Fraud Investigation
Refused to cooperate with investigation into allegations of fraudulently inducing clients to transfer funds
2023-09-18 /CRD 4459340 /PR
Elba Nogueras Suspended for Regulation Best Interest Violation
Violated Reg BI by recommending unsuitable non-traded REIT investment
2023-09-13 /CRD 5912401 /IL
Andrew Maynerich Suspended for Falsifying Customer Documents
Electronically signed documents on behalf of customers and provided false compliance attestations
2023-09-13 /CRD 3031284 /FL
Gustavo Rodrigo Suspended for Unauthorized Discretionary Trading
Exercised unauthorized discretion in customer account
2023-09-12 /CRD 4984028 /CO
Robert Stansky Barred for Failing to Provide Testimony to FINRA
Refused to provide testimony to FINRA regarding unauthorized transactions investigation
2023-09-12 /CRD 3069597 /GA
Jeffrey Kirkpatrick Suspended for Falsifying Wire Transfer Form and Off-Channel Communications
Falsified wire transfer form and communicated about firm business outside approved channels
2023-09-11 /CRD 7059 /NY
Citigroup Global Markets Fined for Inaccurate Trade Confirmations
Issued inaccurate trade confirmations reporting agent capacity instead of principal capacity
2023-09-08 /CRD 146122 /TX
Electronic Transaction Clearing Fined $3 Million for Supervision and AML Failures
Failed to supervise for manipulative trading and implement adequate AML procedures
2023-09-08 /CRD 1078211 /NJ
Michael Clarke Barred by SEC for Conversion and Misrepresentations
Converted customer money and made misrepresentations in ticket brokering business
2023-09-08 /CRD 2067177 /PA
Charles Shields Suspended for Unauthorized Discretionary Trading
Exercised discretion based on family member instructions without proper authorization
2023-09-05 /CRD 20130 /NY
Traderfield Securities Fined for Supervision Failures and Mario Divita Suspended
Failed to establish and maintain supervisory system for outside business activities
2023-09-05 /CRD 7376480 /TX
Ethan Martin Barred for Converting Customer Funds
Converted customer funds and refused to cooperate with FINRA investigation