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Broker records
2,290 records on file, newest first
2023-07-06 /CRD 5400879 /OH
Ronald Joseph Sagasser Barred for Failing to Cooperate with FINRA Investigation
Failure to cooperate with investigation regarding promissory notes and unauthorized statements
2023-07-05 /CRD 4859099 /NJ
Brad Michael Jacobson Barred for Failing to Cooperate with FINRA Investigation
Failure to cooperate with FINRA investigation regarding alleged customer fund conversion
2023-07-05 /CRD 2731304 /NY
Dominic Joseph Carlo Suspended for Unauthorized Discretionary Trading
Unauthorized discretionary trading and false compliance attestations
2023-06-30 /CRD 116681 /IL
Hightower Securities Fined and Ordered to Pay Restitution for GPB Capital and Alternative Fund Violations
Negligently failing to disclose material information about GPB Capital and inadequately supervising alternative fund sales
2023-06-29 /CRD 1126849 /CA
Jonathan Walter Way Barred for Refusing to Cooperate with Investigation
Refusing to cooperate with investigation into sales practice violations
2023-06-29 /CRD 4715268 /NY
Douglas Blake Solinsky Suspended for Excessive and Unsuitable Trading
Excessively and unsuitably trading customer accounts
2023-06-27 /CRD 19801 /NY
BGC Financial Fined for Regulation SHO Violations
Mismarking orders under Regulation SHO and supervisory failures
2023-06-27 /CRD 127818 /NY
Open to the Public Investing Fined $500,000 for Best Execution Failures
Failing to meet best execution obligations and inadequate supervision
2023-06-27 /CRD 7083841 /FL
Rogerio T. Almeida Suspended for Undisclosed Outside Business Activity as Mortgage Loan Officer
Conducting undisclosed outside business activity as mortgage loan officer
2023-06-27 /CRD 1098981 /SC
Ricky Alan Mantei Under Appeal for Prearranged Trading Violations
Engaging in prearranged trading and circumventing cross-trade procedures
2023-06-27 /CRD 831841 /NY
Maurice Lawrence Naylon III Suspended for Undisclosed Outside Business Activity
Engaging in unapproved outside business activity and providing false information on compliance questionnaires
2023-06-26 /CRD 1858245 /FL
Randall George Skrabonja Barred for Refusing to Cooperate with Investigation into Selling Away
Refusing to cooperate with investigation into selling away