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Broker records
2,290 records on file, newest first
2023-07-26 /CRD 7132872 /MS
James Floyd Garraway III Suspended for Forging Customer Signatures
Forging customer signatures on forms
2023-07-25 /CRD 6413 /SC
LPL Financial Fined $3 Million for Supervisory Failures Allowing Customer Fund Conversion
Supervisory failures allowing customer fund conversion and signature forgery
2023-07-24 /CRD 143381 /FL
OCP Capital Fined $75,000 for Books and Records Violations
Books and records violations, unregistered principal, email retention failures
2023-07-24 /CRD 5918186 /MD
Miche D. Jean Barred for Failing to Cooperate in Customer Conversion Investigation
Customer fund conversion and failure to cooperate with investigation
2023-07-24 /CRD 4224616 /NY
Gregory Edward Collins Suspended for Unapproved Outside Business Activities
Unapproved outside business activities and false compliance attestations
2023-07-21 /CRD 7897 /NY
Instinet Fined $450,000 for Regulation NMS Violations
Regulation NMS violations and supervisory failures
2023-07-21 /CRD 2722931 /NY
Eric Ryan Tartaglione Barred for Refusing to Testify About Pre-IPO Private Placements
Failure to testify regarding pre-IPO private placement sales
2023-07-20 /CRD 3070076 /TN
Steven Marc Brakman Suspended for Making False Entries to Avoid Compensation Losses
Making false entries to avoid compensation losses
2023-07-20 /CRD 840752 /FL
Robert Spencer Gerstein Suspended for Unsuitable Short-Term Trading
Unsuitable short-term trading and falsifying order tickets
2023-07-20 /CRD 290248 /NJ
Monmouth Capital Management Expelled for Churning Customer Accounts Including Gold Star Families
Churning, excessive trading, supervisory failures, false Form CRS disclosures
2023-07-19 /CRD 2864333 /NJ
John Charles Jacobsen Barred for Failing to Cooperate with Revenue Allocation Investigation
Failure to cooperate with investigation regarding production number discrepancies and revenue allocation
2023-07-18 /CRD 718185 /AZ
Joseph Francis Bartosiewicz Jr. Barred for Failing to Cooperate with FINRA Investigation
Failure to cooperate with FINRA investigation following firm AWC