The database
Broker records
2,290 records on file, newest first
2023-07-10 /CRD 3088891 /IL
David Richard Geake Barred for Private Securities Transaction Involving Elderly Investors
Private securities transaction and false compliance attestations
2023-07-10 /CRD 4450674 /NM
Billy Pascal Stanage Jr. Barred for Failing to Cooperate with Outside Business Activity Investigation
Failure to cooperate with investigation regarding unapproved outside business activity and client loan
2023-07-07 /CRD 5335897 /TX
Thomas Phillip Simpson Barred for Failing to Cooperate with FINRA Investigation
Failure to cooperate with investigation regarding policy violations
2023-07-07 /CRD 2030866 /WA
David Alan Snavely Barred for Failing to Cooperate with Unsuitable Annuities Investigation
Failure to cooperate with investigation regarding unsuitable annuity sales
2023-07-07 /CRD 4668159 /NE
Kiffin Scott Anderson Suspended for Falsifying Customer Signatures
Falsifying customer signatures and false compliance attestations
2023-07-07 /CRD 3276071 /MN
Timothy Royce Bush Suspended for Maintaining Unapproved Outside Investment Account
Maintaining unapproved outside investment account and false compliance attestations
2023-07-07 /CRD 2246140 /NJ
Joseph Civiletti Suspended for Receiving Undisclosed Compensation for Power of Attorney Role
Receiving undisclosed compensation for power of attorney role
2023-07-07 /CRD 5250991 /NY
Christopher F. Harrington Jr. Suspended for Unsuitable Trading to Inflate Compensation
Unsuitable trading to inflate compensation
2023-07-07 /CRD 1937971 /IL
John James Hoidas Suspended for Unsuitable Recommendations and Borrowing from Customer
Unsuitable recommendations, borrowing from customer, recordkeeping violations
2023-07-07 /CRD 5059630 /CA
Ariya Pejouhesh Suspended for Having Intern Complete Continuing Education Courses
Having intern complete continuing education courses
2023-07-06 /CRD 1957501 /IL
Helen Grace Caldwell Barred for Refusing to Testify in FINRA Investigation
Failure to testify regarding undisclosed outside business activities and client solicitation
2023-07-06 /CRD 4716321 /NY
Surage Kamal Roshan Perera Barred for Refusing to Testify About Customer Fraud Allegations
Failure to testify regarding customer fraud allegations