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2,290 records on file, newest first
2025-12-19 /CRD 283942 /NY
BofA Securities Fined $225,000 for Rule 606 Reporting Violations
Inaccurate Rule 606 reports and inadequate supervision
2025-12-19 /CRD 149531 /NY
Mundial Financial Group Fined $100,000 for Registration and AML Violations
Unregistered person activities and AML program deficiencies
2025-12-19 /CRD 5774832 /GA
Ejiro Ode Okuma Barred for Refusing to Provide Information in Elder Abuse Investigation
Failure to provide information to FINRA
2025-12-17 /CRD 288933 /NY
Clear Street LLC Fined $175,000 for Options Order Origin Code Violations
Inaccurate options origin codes and inadequate supervision
2025-12-17 /CRD 2837860 /NY
Keith Michael Dagostino Suspended Two Years for Unsuitable Low-Priced Securities Recommendations to Seniors
Unsuitable recommendations of speculative securities to seniors
2025-12-17 /CRD 1191231 /IL
Charles Henry Garrido Suspended Three Months for Unauthorized Discretion and Off-Channel Communications
Unauthorized discretion and off-channel communications
2025-12-15 /CRD 7625979 /OR
Ali F. Chehab Barred for Failure to Provide Information in Misconduct Investigation
Failure to provide information to FINRA
2025-12-15 /CRD 4308782 /NY
Christopher Cacace Suspended 30 Days for Inadequate Supervision of Excessive Trading
Inadequate supervision of excessive trading
2025-12-15 /CRD 146251 /NY
Spartan Capital Securities and Principals Charged with Widespread Churning and Fraud
Alleged widespread churning and fraud
2025-12-12 /CRD 288898 /CA
Kingswood Capital Partners Fined $150,000 for Alternative Investment Supervision Failures
Inadequate supervision of alternative investments
2025-12-12 /CRD 6762567 /OK
Brian Boyer Davis Barred for Refusing to Testify in Private Securities Transaction Investigation
Failure to appear for testimony
2025-12-12 /CRD 5285713 /OK
Ryan Wesley Davis Barred for Refusing to Testify in Private Securities Transaction Investigation
Failure to appear for testimony