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Broker records
2,290 records on file, newest first
2023-04-24 /CRD 6527545 /FL
Matthew Mangini Suspended Six Months for Unapproved Private Securities Transactions
Participated in unapproved private securities transactions
2023-04-21 /CRD 6922112 /MI
Drake Uplinger Suspended Three Months for Maintaining Undisclosed Outside Accounts
Failed to disclose outside brokerage accounts, provided false compliance certifications
2023-04-20 /CRD 5657849 /NJ
Christopher Tranchina Barred for Breaking Into Former Employer’s Office and Taking Files
Unauthorized access to former employer's office, taking customer files, failure to disclose criminal charge
2023-04-20 /CRD 1896352 /AZ
Todd Anderson Suspended 45 Days for Unsuitable Mutual Fund Recommendations
Made unsuitable mutual fund recommendations causing customer to miss breakpoint discounts
2023-04-19 /CRD 4662779 /CA
Johnathan Norton Suspended 30 Days for Undisclosed Private Securities Transactions
Participated in private securities transactions without prior written notice
2023-04-19 /CRD 146251 /Spartan Capital Securities, LLC
Spartan Capital Securities, John Lowry, and Kim Monchik Sanctioned for Form U4 and U5 Disclosure Failures
Willfully failed to amend Form U4s and U5s to disclose customer arbitrations and complaints
2023-04-18 /CRD 19714 /NY
Barclays Capital Fined $2.5 Million for OTC Options Reporting Failures
Failed to accurately report OTC options positions to LOPR system, inadequate supervisory system
2023-04-18 /CRD 4817558 /WA
Michael Raineri Barred for Converting $135,000 from Customer
Converted customer funds
2023-04-17 /CRD 3202595 /TX
FINRA Disciplinary Action: Christine Tan Dormier Suspension Lifted After Arbitration Compliance
Failure to comply with arbitration award (Rule 9554); suspension lifted after compliance
2023-04-17 /CRD 7297 /IL
Regal Securities Fined $100,000 for Failing to Monitor Potentially Manipulative Trading
Failed to supervise and monitor potentially manipulative trading activity
2023-04-17 /CRD 6303936 /AR
Tori Uhiren Barred for Refusing to Provide Information to FINRA
Refused to provide documents and information in FINRA investigation
2023-04-17 /CRD 2648836 /NY
Jason DiPaola Suspended Four Years for Undisclosed Outside Account and False Compliance Forms
Failed to disclose outside account with discretionary authority, submitted false compliance forms, failed to provide testimony