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Broker records
2,290 records on file, newest first
2023-06-23 /CRD 816 /NY
Credit Suisse Fined $900,000 for TRACE Reporting Violations
Failing to timely and accurately report TRACE transactions and inadequate supervision
2023-06-23 /CRD 2807988 /CT
James Anthony Iannazzo Charged with Structuring Cash Transactions to Avoid Reporting
Alleged structuring of cash transactions to avoid currency transaction reporting requirements
2023-06-22 /CRD 42405 /NY
Evercore Group Fined $100,000 for Market Access Control Failures
Failing to establish reasonably designed market access controls and supervisory procedures
2023-06-21 /CRD 6129027 /SC
Richard Martel Funderburk Barred for Providing Fabricated Exam Score Report
Providing fabricated exam score report to supervisor
2023-06-21 /CRD 4497728 /WI
Kimberly A. Sittarich Barred for Refusing to Cooperate with Investigation into Termination
Refusing to provide documents, information, and testimony regarding termination
2023-06-20 /CRD 2217759 /GA
Jason K. Adams Suspended for Undisclosed Outside Business Activity
Operating undisclosed outside business providing subscription investment content
2023-06-20 /CRD 4593636 /FL
Blake Adam Levy Suspended for Unsuitable Recommendations and Material Omissions
Making unsuitable recommendations and negligent material omissions regarding compensation
2023-06-20 /CRD 5237027 /FL
Abbe Jan Wollins Suspended for Unsuitable Recommendations to Elderly Customers
Making unsuitable recommendations of oil and gas partnerships to elderly customers
2023-06-19 /CRD 5406273 /NY
Edward Beyn Barred by SEC for Excessive Trading and Unsuitable Recommendations
Churning customer accounts and making unsuitable recommendations
2023-06-16 /CRD 3046373 /CA
Michelle Liao Wu Suspended for Discretionary Trading Without Authorization
Placing discretionary trades without written authorization
2023-06-15 /CRD 5838564 /CT
Andrew M. Komarow Barred for Refusing to Cooperate with Investigation into Account Fraud
Refusing to cooperate with investigation into fraudulent account opening and trading with insufficient funds
2023-06-15 /CRD 1686392 /NY
Richard F. Spettell Suspended for Causing Inaccurate Books and Records
Causing firm to maintain inaccurate books and records by changing representative codes