The database
Broker records
2,290 records on file, newest first
2023-06-15 /CRD 1277533 /AL
Thomas Alvin Vernor III Suspended for Failing to Disclose Felony Charge
Willfully failing to disclose felony charge on Form U4
2023-06-14 /CRD 4727529 /GA
Brody Ralph Bray Suspended for Undisclosed Outside Business Activities and Misleading Communications
Undisclosed outside business activities and distributing misleading investment communications
2023-06-14 /CRD 4672687 /NY
Colin Jeremiah Healy Suspended One Year for Submitting Personal Expenses for Reimbursement
Submitting personal expenses for reimbursement as business expenses
2023-06-13 /CRD 5552070 /NY
Sharon Hayut Suspended for Accepting Undisclosed Gifts from Senior Customer
Accepting undisclosed monetary gifts from senior customer in violation of firm policies
2023-06-12 /CRD 5284151 /OR
Roger Lee Arnold Barred for Failing to Cooperate with Investigation into Unauthorized Account Transactions
Failing to cooperate with investigation into unauthorized redemptions from spouse's account
2023-06-09 /CRD 104021 /Letsgotrade, Inc. dba ChoiceTrade
Letsgotrade and Neville Golvala Fined for Distributing Misleading Promotional Materials
Negligently disseminating promotional materials with material misstatements and omissions
2023-06-08 /CRD 5393 /TX
Charles Schwab Fined $350,000 for ETN Confirmation Disclosure Failures
Sending confirmations with omitted disclosures for callable ETNs
2023-06-08 /CRD 5633 /NE
TD Ameritrade Clearing Fined $500,000 for Confirmation Disclosure Failures
Failing to disclose callable features and redemption risks on confirmations
2023-06-08 /CRD 2270954 /CA
Kale KH Young Suspended for Falsifying Customer Signatures
Falsifying customer signatures on documents and causing inaccurate books and records
2023-06-07 /CRD 6152653 /FL
Jermaine K. Benjamin Barred for Refusing to Cooperate with Investigation into Customer Complaint
Refusing to provide documents and information to FINRA
2023-06-07 /CRD 2406530 /CA
Sean Pong Barred for Refusing to Testify About Outside Business Activity
Refusing to appear for on-the-record testimony regarding outside business activity
2023-06-07 /CRD 2842993 /TN
D. Wray Rodgers Barred for Refusing to Testify About Outside Business Activity and Potential Misuse of Funds
Refusing to appear for testimony regarding undisclosed outside business activity and potential customer fund misuse