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Broker records
2,290 records on file, newest first
2023-07-18 /CRD 3216344 /TX
Lynn Witherspoon Bryant Barred for Refusing to Testify About Private Securities Transactions
Failure to testify regarding private securities transactions
2023-07-18 /CRD 7532793 /FL
Logan Jeffrey LaPace Suspended for Failing to Disclose Felony Charges
Failure to disclose felony charges on Form U4
2023-07-18 /CRD 6321876 /FL
Jeremiah Roman Suspended for Private Securities Transactions in Merchant Cash Advances
Private securities transactions and false compliance attestations
2023-07-17 /CRD 7424494 /IL
Drew Stegman Barred for Refusing to Complete Testimony About Penny Stock Promotion
Failure to complete testimony regarding penny stock promotion on social media
2023-07-17 /CRD 6346419 /NY
Murat Kartal Suspended for Unsuitably and Excessively Trading Senior Customer Account
Unsuitable and excessive trading of senior customer account
2023-07-17 /CRD 5954543 /CA
Daniel M. King Suspended for Unsuitable Use of Margin Trading
Unsuitable use of margin trading
2023-07-14 /CRD 5482327 /CA
Nicholas James Tocco Suspended for Anti-Money Laundering Program Failures
Anti-money laundering program failures, customer identification program deficiencies
2023-07-13 /CRD 7029983 /CA
James Tri Truong Suspended for Failing to Disclose Felony Charge
Failure to disclose felony charge and false compliance attestation
2023-07-12 /CRD 3257008 /AZ
Luke Michael Johnson Accused of Unsuitable Alternative Investment Recommendations and Falsifying Documents
Alleged unsuitable alternative investment recommendations and document falsification
2023-07-11 /CRD 7691 /NY
Merrill Lynch Fined $6 Million for Suspicious Activity Reporting Failures
Suspicious Activity Report filing failures and inadequate AML procedures
2023-07-11 /CRD 31194 /NY
RBC Capital Markets Fined $250,000 for Short Interest Reporting Violations
Short interest reporting violations and supervisory failures
2023-07-11 /CRD 2264940 /NJ
Eugene Hyunwook Kim Accused of Misusing Customer Funds in Private Placement Offering
Alleged unethical conduct and misuse of customer funds in private placement