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Broker records
2,290 records on file, newest first
2023-05-25 /CRD 7452 /PA
Vanguard Marketing Corporation Fined $800,000 for Providing Misleading Account Statements
Providing misleading account statements
2023-05-24 /CRD 43000 /VA
Financial Security Management Fined for AML Program Deficiencies
AML program deficiencies
2023-05-23 /CRD 7414226 /NJ
Antonino Giaccone Barred for Cheating on Series 7 Exam
Cheating on FINRA Series 7 qualification examination
2023-05-23 /CRD 2102086 /MO
Matthew Eric Platnico Suspended Nine Months for Unauthorized and Unsuitable Options Trading
Unauthorized and unsuitable options trading
2023-05-23 /CRD 5543658 /NY
Sidney Lebental Charged with Spoofing in U.S. Treasury Bond Trading
Alleged spoofing in U.S. Treasury Bond trading
2023-05-22 /CRD 79 /NY
J.P. Morgan Securities Fined $750,000 for Market Access Control Failures
Inadequate market access controls and risk management
2023-05-22 /CRD 6785677 /FL
Lizbeth Saavedra Suspended for Private Securities Transaction and Undisclosed Outside Business Activities
Private securities transactions and undisclosed outside business activities
2023-05-19 /CRD 25536 /GA
American Wealth Management Fined for Inaccurate Form CRS Disclosures
Inaccurate Form CRS disclosures
2023-05-19 /CRD 172393 /NV
Axos Invest Fined $75,000 for False Form CRS Disclosures
False Form CRS disclosures regarding disciplinary history
2023-05-19 /CRD 109821 /TN
Harpeth Securities Fined for Failure to Establish Reg BI and Form CRS Procedures
Failure to establish Reg BI and Form CRS compliance procedures
2023-05-19 /CRD 19074 /NJ
Highlander Capital Group Fined for Inaccurate Form CRS
Inaccurate Form CRS disclosures
2023-05-19 /CRD 2110659 /CA
Mark Allen Brewer Suspended for Improper Beneficiary Designation Scheme
Improper beneficiary designation scheme