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Broker records
2,290 records on file, newest first
2023-06-06 /CRD 14455 /CA
UnionBanc Investment Services Fined for Discovery Violations in Arbitration
Failing to comply with discovery obligations in arbitration proceeding
2023-06-06 /CRD 4637378 /FL
Scott Jay Matalon Barred for Refusing to Provide Information to FINRA
Refusing to provide documents and information to FINRA
2023-06-06 /CRD 7252494 /TN
Joanna L. Morgan Barred for Refusing to Cooperate with FINRA Investigation
Refusing to provide information and documents to FINRA
2023-06-06 /CRD 4437801 /LA
Jeremy Jefferson Jacobson Suspended for Unauthorized Trading
Executing unauthorized trades in customer accounts
2023-06-05 /CRD 31194 /NY
RBC Capital Markets Fined for Inaccurate Order Reporting
Reporting orders with inaccurate capacity codes and record-keeping violations
2023-06-05 /CRD 121263 /Bahamas
RBC CMA LLC Fined $870,000 for Order Reporting Failures
Reporting over one billion orders with inaccurate capacity codes and supervisory failures
2023-06-05 /CRD 2528929 /FL
Jeffrey Max Cohen Barred for Refusing to Cooperate with FINRA Investigation
Refusing to produce information and documents requested by FINRA
2023-06-05 /CRD 6073346 /CA
Adam C. Ellison Suspended for Failing to Disclose Felony Charge
Willfully failing to timely amend Form U4 to disclose felony charge
2023-06-01 /CRD 4401092 /WV
Delaina Sue Kucish Suspended 15 Months for Using Unauthorized Text Messages and Providing False Information
Using unauthorized text messages and providing false information to firm and FINRA
2023-05-31 /CRD 46173 /NY
Park Avenue Securities Fined for Failure to Investigate Undisclosed Outside Business Activities
Failure to supervise outside business activities
2023-05-30 /CRD 1758915 /NJ
Rande Scott Aaronson Suspended for Failure to Supervise Illiquid Partnership Sales
Failure to supervise illiquid partnership sales
2023-05-26 /CRD 1716966 /FL
Kevin Cory Barred for Misrepresentations to Former Customers
Misrepresentations to customers and fraudulent conduct