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Broker records
2,290 records on file, newest first
2023-08-16 /CRD 7897 /NY
Instinet Fined $3.8 Million for Massive Consolidated Audit Trail Reporting Failures
Failed to timely and accurately report billions of order events to the Consolidated Audit Trail
2023-08-15 /CRD 37068 /MI
CoreCap Investments Fined for Operating More Offices Than Permitted Without FINRA Approval
Operated more offices than permitted without FINRA approval
2023-08-11 /CRD 703813 /FL
Robert Juan Escobio Barred by SEC for Refusing to Cooperate with FINRA Investigation
Refused to comply with FINRA requests for testimony and information
2023-08-10 /CRD 151152 /CA
StratCap Securities Fined for Operating Below Minimum Net Capital Requirements
Operated below minimum net capital requirements
2023-08-10 /CRD 7449972 /NJ
Lucy Yi Lin Barred for Refusing to Provide Information to FINRA
Refused to provide information to FINRA regarding expense reimbursement violations
2023-08-09 /CRD 2865619 /NJ
Raymond William Clark Barred for Refusing to Testify to FINRA
Refused to provide testimony to FINRA in investigation of churning and other violations
2023-08-09 /CRD 2039846 /NJ
Vincent Pucciarelli Jr. Barred for Refusing to Testify to FINRA
Refused to provide testimony to FINRA in investigation of private placement sales
2023-08-09 /CRD 7505049 /NC
Bryan Adem Joseph Suspended 18 Months for Cheating on Series 7 Exam
Possessed cell phone during Series 7 examination in violation of test rules
2023-08-08 /CRD 2406749 /TX
Michael Ramon DeLao Suspended Three Months for Failing to Disclose Felony Charge
Failed to disclose felony charge and conviction
2023-08-08 /CRD 5684384 /OK
Kevin Joe Hall Suspended Four Months for Misusing Firm Funds
Misused firm funds by charging personal expenses to corporate credit card
2023-08-07 /CRD 2804704 /MD
Lickhai Quach Barred for Refusing to Provide Information to FINRA
Refused to provide documents and information to FINRA
2023-08-04 /CRD 5064451 /NJ
Shane Nowosacki Suspended One Month for Unapproved Outside Business Activity
Engaged in outside business activity without firm approval