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Broker records
2,290 records on file, newest first
2023-05-09 /CRD 4700490 /PA
Michael Robert Neill Suspended for Causing Inaccurate Books and Records
Causing inaccurate books and records
2023-05-08 /CRD 5239408 /NJ
Jason Lee Pintus Barred for Refusing FINRA Testimony
Refusal to provide testimony to FINRA
2023-05-05 /CRD 30833 /CA
Centaurus Financial and Donnie Eugene Ingram Sanctioned for Unsuitable Investment Recommendations
Unsuitable investment recommendations
2023-05-05 /CRD 139627 /IA
Brokers International Financial Services Fined for Failure to Supervise Outside Brokerage Accounts
Failure to supervise outside brokerage accounts
2023-05-05 /CRD 2876322 /FL
Stefan Andrew Spath Suspended 20 Months for Misrepresentations and Undisclosed Outside Business Activity
Misrepresentations and undisclosed outside business activity
2023-05-02 /CRD 19532 /TX
International Research Securities Fined for Net Capital Violations
Net capital violations and inaccurate reporting
2023-05-02 /CRD 2503652 /CA
Shahab TagnaviDinani Suspended for Unauthorized Trading in Deceased Customer Account
Unauthorized trading in deceased customer account
2023-05-01 /CRD 283474 /NY
Webull Financial Fined $3 Million for Options Approval and Complaint Reporting Violations
Failed to exercise due diligence for options approvals and failed to report customer complaints
2023-05-01 /CRD 23224 /CA
Madison Avenue Securities Fined for Failure to Supervise Mutual Fund Sales Charge Discounts
Failure to supervise mutual fund sales charge discounts
2023-05-01 /CRD 7691 /NY
Merrill Lynch Fined $700,000 for Telemarketing Rule Violations
Failure to supervise telemarketing compliance
2023-05-01 /CRD 2569145 /MA
Cullen David Factor Barred for Refusing FINRA Testimony
Refusal to provide testimony to FINRA
2023-04-27 /CRD 285216 /CA
SprinkleBrokerage Fined $15,000 and John Wallin Suspended for AML Failures
Failed to develop and implement reasonable AML program, failed to update Form BD