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Broker records
2,290 records on file, newest first
2023-09-05 /CRD 7173106 /GA
Joseph Quintons Barred for Failing to Cooperate with FINRA
Refused to provide information to FINRA regarding Form U4 disclosure investigation
2023-09-05 /CRD 1100052 /CA
Stephen Takeda Barred for Failing to Cooperate with FINRA Investigation
Refused to provide information to FINRA regarding customer complaint investigation
2023-09-05 /CRD 3124942 /CT
Kevin Carroll Suspended for Unauthorized Borrowing and Discretionary Trading
Borrowed from customer without firm approval and exercised unauthorized discretion
2023-09-05 /CRD 3155726 /OK
Anthony Cross Suspended for Unauthorized Discretionary Trading
Exercised unauthorized discretionary authority in customer accounts
2023-08-31 /CRD 13577 /NJ
Network 1 Financial Securities and Michael Molinaro Fined for Excessive Trading Supervision Failures
Failed to supervise excessive trading, inadequate written supervisory procedures
2023-08-31 /CRD 137988 /NY
Lebenthal Financial Services Fined for Failures in Supervising Consolidated Reports
Failed to supervise creation and dissemination of consolidated reports
2023-08-31 /CRD 5605796 /NY
Richard S. Siminou Suspended Four Months for Excessive Trading of Elderly Customer Accounts
Excessively traded two elderly customer accounts
2023-08-24 /CRD 869179 /GA
J. Richard Matheis Barred for Refusing to Testify to FINRA
Refused to provide testimony to FINRA in investigation of sales practice violations
2023-08-23 /CRD 1025539 /NY
Wesley Howard Triani Barred for Refusing to Provide Information to FINRA
Refused to provide documents and information to FINRA
2023-08-18 /CRD 130116 /MN
BrokerBank Securities Expelled and Philip Paul Wright Barred for Allowing Unregistered Person to Conduct Securities Business
Permitted unregistered and disqualified person to conduct securities business, failed to respond to FINRA requests
2023-08-17 /CRD 134 /NY
Cantor Fitzgerald Fined $100,000 for Rule 606 Reporting Failures
Published inaccurate and incomplete Rule 606 reports on order handling
2023-08-16 /CRD 361 /NY
Goldman Sachs Fined $425,000 for Large Options Positions Reporting Failures
Failed to accurately report large options positions