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Broker records
2,290 records on file, newest first
2023-08-04 /CRD 1357703 /NY
Suzanne Marie Capellini Barred for Providing False Information and AML Program Failures
Provided false information to FINRA and failed to establish adequate AML program
2023-08-03 /CRD 2981153 /PA
Timothy James Breslin Barred for Providing Falsified Documents and False Testimony to FINRA
Provided falsified documents and false testimony to FINRA
2023-08-03 /CRD 1147009 /MO
Robert Vincent Judge Suspended Four Months for Permitting Signature Falsification
Permitted falsification of his own signature and customer signatures on account documents
2023-08-03 /CRD 868378 /MO
Bradley Thomas Wastler Suspended 10 Months for Forging Customer Signatures
Forged customer and registered representative signatures on account documents
2023-08-02 /CRD 812664 /NJ
William Henry Weisbrod Barred for Breaching Fiduciary Duties and Fraud
Breached fiduciary duties and directed unsuitable trading strategy for personal gain
2023-08-02 /CRD 6018019 /NJ
Lilia Nia Suspended One Year for Effecting Unauthorized Transactions in Bank Account
Effected unauthorized transactions causing excessive risk and costs
2023-08-01 /CRD 7013767 /WI
Ashley Fenderson Barred for Refusing to Provide Information to FINRA
Refused to provide information and documents to FINRA
2023-07-27 /CRD 151604 /MI
Concorde Investment Services Fined $175,000 for Securities Act Violations
Securities Act violations and supervisory failures regarding private placements
2023-07-27 /CRD 4648882 /TN
David Harrison Miller Barred for Refusing to Testify About Investment Suitability
Failure to testify regarding suitability of investment recommendations
2023-07-27 /CRD 1429794 /WI
Robert Charles Starnes Barred for Refusing to Testify About Customer Complaint
Failure to testify regarding customer complaint
2023-07-27 /CRD 5685224 /MD
Howard Stuart Rothman Suspended for Misleading Testimony at FINRA Arbitration
Misleading testimony at FINRA arbitration hearing
2023-07-27 /CRD 1239086 /GA
Darren Michael Kubiak Accused of Failing to Testify About Unsuitable Limited Partnership Recommendations
Alleged failure to testify regarding unsuitable limited partnership recommendations to seniors