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Broker records
2,290 records on file, newest first
2023-05-18 /CRD 41067 /FL
DMK Advisor Group Fined for Form CRS and Regulation Best Interest Violations
Form CRS and Reg BI supervisory violations
2023-05-18 /CRD 6601132 /NC
Christopher John Carpenter Barred for Refusing to Produce Documents
Refusal to produce documents to FINRA
2023-05-18 /CRD 1175190 /NJ
Brian Edward Reilly Suspended for Misrepresenting Identity to Annuity Provider
Misrepresenting identity and providing false information
2023-05-18 /CRD 2379704 /NY
Thomas John Tedeschi Suspended for Failure to Disclose Felony Charges
Failure to disclose felony charges on Form U4
2023-05-16 /CRD 8052 /AR
Crews & Associates Fined $50,000 for Municipal Bond Markup Violations
Municipal bond markup violations and supervision failures
2023-05-16 /CRD 10409 /MA
MML Investors Services Fined $250,000 for Untimely Form U4 and U5 Disclosures
Untimely Form U4 and U5 disclosures
2023-05-16 /CRD 501131 /AR
Rush Flowers Harding III Suspended One Year for Municipal Bond Markup Violations
Municipal bond markup violations and interpositioning
2023-05-16 /CRD 6087064 /TX
Bryan Sproul Suspended for Borrowing from Customer
Borrowing from customer without firm approval
2023-05-15 /CRD 145012 /SW Financial dba Salomon Whitney LLC
SW Financial Expelled and Thomas Diamante Suspended for Multiple Violations
Material misrepresentations and supervision failures
2023-05-11 /CRD 894 /MA
O’Neil Securities Fined for Failure to Record and Supervise Private Securities Transactions
Failure to record and supervise private securities transactions
2023-05-10 /CRD 121192 /AZ
Arque Capital and Michael Cheng Ning Sanctioned for Net Capital and Regulatory Violations
Net capital violations and inaccurate books and records
2023-05-09 /CRD 6073108 /MD
Jacob Harrison Leddy Suspended for Improper Removal of Customer Information
Improper removal of customer non-public personal information